Robert E. Adams
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 Edwin Adams JR, who also goes by Bob Adams Jr, Bobby Adams Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7 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
March 14, 2003 - December 18, 2006
ROTHSTEIN INVESTMENT ADVISORY SERVICES INC
September 9, 1992 - July 13, 1994
U.S. SECURITIES CORPORATION OF WASHINGTON, DC
May 9, 1991 - September 9, 1991
CAPITOL SECURITIES MANAGEMENT, INC.
August 19, 1988 - September 26, 1990
PRUDENTIAL EQUITY GROUP, LLC
May 13, 1987 - September 12, 1988
FIRST UNION CAPITAL MARKETS CORP.
January 21, 1986 - May 6, 1987
CAPITAL EXPANSION GROUP, INC.
State Registrations and Notice Filings
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Exams
Current firm
No current employment
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.
