Roberick E. Lindman
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.
Roberick Edward Lindman, who also goes by Rob Edward Lindman, Roderick Edward Lindman, was a registered financial professional .
Roberick is a previously registered financial professional and started their career in finance in 1987. Roberick had worked at 7 firms and has passed the Series 65, 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
April 4, 2012 - July 24, 2013
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC
September 7, 2010 - April 5, 2012
FIDUCIARY ASSET MANAGEMENT LLC
April 30, 2002 - July 24, 2013
PIPER SANDLER & CO.
September 3, 1997 - April 15, 2003
U.S. BANCORP INVESTMENTS, INC.
November 8, 1996 - September 3, 1997
U.S. BANCORP SECURITIES
August 4, 1994 - October 11, 1996
SEAFIRST INVESTMENT SERVICES, INC.
September 16, 1987 - November 4, 1992
SEAFIRST SECURITIES, 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
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC
CRD#: 145876 / SEC#: 801-68637
Contact information
Red Flags
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