Robert M. Shwab
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 Martin Shwab was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2013 - April 1, 2015
ASCENSUS FINANCIAL SERVICES, LLC.
July 30, 2012 - August 1, 2013
P.J. ROBB VARIABLE, LLC
August 4, 2005 - October 31, 2005
PENSION PLANNERS SECURITIES, INC.
April 1, 2004 - November 4, 2004
NEBS FINANCIAL SERVICES, INC.
July 9, 2002 - July 7, 2003
NEBS FINANCIAL SERVICES, INC.
October 10, 1996 - March 7, 2000
MUTUAL OF AMERICA SECURITIES LLC
December 3, 1986 - March 7, 2000
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
State Registrations and Notice Filings
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Exams
Current Firm
ASCENSUS FINANCIAL SERVICES, LLC.
CRD#: 147257 / SEC#: , 8-67891
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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