Robert S. Oppold
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Stephen Oppold, who also goes by Bob Oppold, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 3 firms and has passed the Series 63, Series 3, Series 7, Series 4, Series 27, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 1989 - December 20, 1989
MORISON SECURITIES, INC.
March 14, 1988 - January 18, 1990
B.C. CHRISTOPHER SECURITIES CO.
November 25, 1985 - December 7, 1987
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 4/25/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORISON SECURITIES, INC.
CRD#: 8097 / SEC#: , 8-24318
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
