Robert M. Saflin
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 Michael Saflin was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 9 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
August 30, 1993 - November 29, 1993
FIRST ASSOCIATED SECURITIES GROUP, INC.
May 14, 1991 - September 6, 1991
KOBER FINANCIAL CORP.
August 17, 1989 - November 9, 1990
KOBER FINANCIAL CORP.
June 13, 1989 - August 15, 1989
FIRM ONE SECURITIES, INCORPORATED
April 13, 1989 - May 25, 1989
U.S. ADVISORS, INC.
November 14, 1988 - April 25, 1989
L.M. BASS SECURITIES, INC.
June 8, 1988 - November 25, 1988
PEOPLES BROKERAGE SERVICES, INC.
June 25, 1987 - June 7, 1988
F.D. ROBERTS SECURITIES, INC.
October 9, 1986 - July 1, 1987
GRAYSTONE NASH, INC.
July 23, 1986 - September 29, 1986
MICHELIN AND COMPANY, 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
FIRST ASSOCIATED SECURITIES GROUP, INC.
CRD#: 20597 / SEC#: , 8-38276
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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