Robert W. Harless
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 Wynn Harless, who also goes by Robert Harless, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2009. Robert had worked at 3 firms and has passed the Series 63, 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
January 15, 2014 - July 8, 2014
BANC OF MANHATTAN CAPITAL
August 1, 2012 - December 31, 2012
BMO CAPITAL MARKETS CORP.
April 3, 2009 - July 24, 2012
M&I FINANCIAL ADVISORS, 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
BANC OF MANHATTAN CAPITAL
CRD#: 149880 / SEC#: , 8-68199
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MANHATTAN CAPITAL MARKETS, LLC | SOLE MEMBER AND 100% OWNER OF BANC OF MANHATTAN CAPITAL, LLC. | |
| JACOBSON, GREG BARRY | CCO, MANAGING MEMBER, PRESIDENT, DIRECTOR | 1524608 |
Disclosures
| Regulatory Event | 2 |
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.
