Robert P. Sauer
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 Peter Sauer JR, who also goes by Robert Peter Saller Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 4 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
April 26, 1993 - June 1, 1993
JOSEPH CHARLES & ASSOC., INC.
January 16, 1991 - April 10, 1991
FINANCIAL EQUITIES RESOURCES, INC.
November 23, 1988 - November 29, 1990
G. K. SCOTT & CO., INC.
November 12, 1986 - November 29, 1988
GREENTREE SECURITIES CORP.
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
JOSEPH CHARLES & ASSOC., INC.
CRD#: 3949 / SEC#: , 8-12410
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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.
