Robert P. Elliott
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 Paul Elliott, who also goes by Bob Elliott, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2009 - February 25, 2013
WFG ADVISORS, LP
June 16, 2004 - February 25, 2013
WFG INVESTMENTS, INC.
March 26, 2004 - August 4, 2009
CENTURY ADVISORS, LLC
January 6, 2003 - June 10, 2004
SPELMAN & CO., INC.
December 2, 2002 - June 10, 2004
SPELMAN & CO., INC.
May 8, 1992 - November 6, 2002
PRUDENTIAL EQUITY GROUP, LLC
September 28, 1990 - November 6, 2002
PRUDENTIAL EQUITY GROUP, LLC
February 14, 1989 - September 24, 1990
LEHMAN BROTHERS INC.
September 26, 1986 - February 11, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 8
Date: 5/12/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WFG ADVISORS, LP
CRD#: 125073 / SEC#: 801-61945
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.
