Robert L. Gardner
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 Lester Gardner, who also goes by Robert Lester Gardener, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 1990 - August 6, 1991
TOLUCA PACIFIC SECURITIES CORP.
May 7, 1990 - June 21, 1990
WAINWRIGHT, AUSTIN, STONE & CO.
April 3, 1989 - February 14, 1990
MORGAN STANLEY DW INC.
December 19, 1986 - April 1, 1989
JP MICHAEL CO.
March 19, 1986 - December 1, 1986
MAIN STREET SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TOLUCA PACIFIC SECURITIES CORP.
CRD#: 13875 / SEC#: , 8-29814
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.
