Robert W. Vial
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 Watson Vial was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2017 - November 1, 2020
FOUR POINTS CAPITAL PARTNERS LLC
February 9, 2016 - October 25, 2017
SGMA CAPITAL MARKETS LIMITED
February 16, 2015 - September 8, 2015
INNOVATION PARTNERS LLC
April 22, 2013 - January 13, 2014
M HOLDINGS SECURITIES, INC.
April 20, 2011 - February 1, 2013
FIRST SAVINGS SECURITIES, INC.
February 26, 1991 - April 21, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 16, 1990 - February 11, 1991
MUTUAL SERVICE CORPORATION
September 9, 1987 - September 19, 1989
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
September 9, 1987 - September 19, 1989
MONY SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FOUR POINTS CAPITAL PARTNERS LLC
CRD#: 43149 / SEC#: , 8-50162
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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