Robert J. Torres
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 Joseph Torres, who also goes by Bob Torres, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 7 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 1996 - September 18, 1997
GLOBAL FINANCIAL GROUP, INC.
June 1, 1994 - April 22, 1996
WELLS FARGO CLEARING SERVICES, LLC
July 31, 1993 - June 16, 1994
CITIGROUP GLOBAL MARKETS INC.
September 24, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
March 26, 1991 - September 15, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 1990 - March 1, 1991
LONDON PACIFIC SECURITIES, INC.
January 3, 1986 - August 31, 1990
PRUCO SECURITIES, LLC.
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
Current Firm
GLOBAL FINANCIAL GROUP, INC.
CRD#: 23958 / SEC#: , 8-40814
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 5 |
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.
