Robert N. Kase
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 Neil Kase, who also goes by Bob Kase, Neil Kase, 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 65, Series 63, SIE, Series 2 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 16, 2010 - January 8, 2024
VOYA INVESTMENTS DISTRIBUTOR, LLC
December 17, 2008 - August 16, 2010
ING INVESTMENT MANAGEMENT SERVICES LLC
June 12, 2002 - November 28, 2007
TRUIST SECURITIES, INC.
March 14, 2002 - November 28, 2007
TRUIST SECURITIES, INC.
February 17, 1999 - December 5, 2001
VALIC FINANCIAL ADVISORS, INC.
August 31, 1995 - September 2, 1998
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
January 16, 1991 - February 15, 1995
CONFEDERATION FINANCIAL SERVICES (U.S.), INC.
March 19, 1990 - August 3, 1990
KEOGLER, MORGAN & COMPANY, INC.
October 14, 1988 - January 1, 1990
WACHOVIA SECURITIES, INC.
October 22, 1986 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., 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
Series 2
Date: 4/15/1991
Non-Member General Securities ExaminationCurrent Firm
VOYA INVESTMENTS DISTRIBUTOR, LLC
CRD#: 37886 / SEC#: , 8-48020
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
