Robert E. Mccarter
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 Earle Mccarter, who also goes by Bobby Mccarter, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2008 - December 31, 2015
REGAL SECURITIES, INC.
October 11, 2005 - October 27, 2008
BASIC INVESTORS INC.
August 10, 2004 - November 9, 2005
GUNNALLEN FINANCIAL, INC
June 23, 1997 - August 10, 2004
DELTA ASSET MANAGEMENT COMPANY, LLC
June 29, 1996 - June 11, 1997
J.C. BRADFORD & CO.
February 5, 1990 - July 1, 1996
FIRST UNION CAPITAL MARKETS CORP.
October 14, 1988 - February 10, 1990
WACHOVIA SECURITIES, INC.
December 17, 1985 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., 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
Current Firm
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
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.
