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Robert C. Cotton

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CRD#: 1683809
RC

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 Clark Cotton, who also goes by Robert Clark Cotton Sr, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 10 firms and has passed the Series 63, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert Clark Cotton Sr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 8, 2010 - July 29, 2010

APS FINANCIAL CORPORATION

BD
CRD#: 10033
AUSTIN, TX
Past

July 10, 2009 - October 30, 2009

ALLUVION SECURITIES, LLC

BD
CRD#: 143623
MEMPHIS, TN
Past

September 26, 2007 - March 5, 2008

ALLUVION SECURITIES, LLC

BD
CRD#: 143623
MEMPHIS, TN
Past

January 23, 2007 - March 2, 2007

AUSTIN ATLANTIC CAPITAL INC.

BD
CRD#: 43981
MEMPHIS, TN
Past

October 19, 2005 - March 2, 2006

SAMCO CAPITAL MARKETS, INC.

BD
CRD#: 136532
AUSTIN, TX
Past

February 3, 2005 - March 2, 2006

PENSON FINANCIAL SERVICES, INC.

BD
CRD#: 25866
DALLAS, TX
Past

July 1, 1992 - September 18, 1992

FIRST AFFILIATED SECURITIES

BD
CRD#: 23737
Past

April 21, 1992 - June 30, 1992

APS FINANCIAL CORPORATION

BD
CRD#: 10033
Past

March 27, 1991 - August 28, 1991

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

September 18, 1989 - February 22, 1991

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

August 10, 1988 - October 23, 1989

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

November 25, 1987 - July 27, 1988

UMIC, INC.

BD
CRD#: 5974

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/9/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/2/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 6/15/1987
National Commodity Futures Examination

Current Firm

AF
APS FINANCIAL CORPORATION
APS FINANCIAL CORPORATION | HOLT, OLINGER & CO., INC. | APS SECURITIES CORPORATION

CRD#: 10033 / SEC#: , 8-26088

BD
Terminated by SEC on 12/11/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 04/01/1981
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
APS INVESTMENT SERVICESOWNER/SHAREHOLDER
MARC ZIMMERMANNSECRETARY, TREASURER, DIRECTOR
TIMOTHY LAFREYDIRECTOR

Disclosures

Regulatory Event13
Civil Event1
Arbitration5

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.

Company Information

APS FINANCIAL CORPORATION

CRD#: 10033

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