Robert A. Shore
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 Adam Shore, who also goes by Rob Shore, Robert Shore, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 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
July 30, 2014 - March 31, 2015
INDEPENDENT INVESTMENT BANKERS, CORP.
February 23, 2012 - April 1, 2013
INDEPENDENT INVESTMENT BANKERS, CORP.
August 13, 2008 - November 30, 2010
VSR FINANCIAL SERVICES, INC.
October 4, 2002 - December 4, 2007
EVERLAKE DISTRIBUTORS, LLC
February 1, 1999 - October 4, 2002
AFD, INC.
January 14, 1992 - January 19, 1999
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
July 22, 1987 - January 10, 1992
CAPITAL BROKERAGE CORPORATION
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
INDEPENDENT INVESTMENT BANKERS, CORP.
CRD#: 154134 / SEC#: , 8-68609
Contact information
FINRA licenses (51 States and Territories)
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.
