Robert H. Shortle
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 Haworth Shortle, who also goes by Bob Shortle, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 3 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, 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
June 26, 1998 - May 28, 2024
PERICULUM CAPITAL MARKETS, LLC
August 25, 1994 - May 19, 1995
HUNTINGTON CAPITAL CORP.
September 24, 1987 - July 15, 1994
RAFFENSPERGER, HUGHES & 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PERICULUM CAPITAL MARKETS, LLC
CRD#: 43362 / SEC#: , 8-50240
Contact information
FINRA licenses (6 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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