Robert G. Velis
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 Glenn Velis was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 6 firms and has passed the Series 63 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
July 14, 1998 - November 10, 1998
NORTHRIDGE CAPITAL CORPORATION
September 24, 1991 - January 1, 1998
ACAP FINANCIAL INC.
January 17, 1991 - October 22, 1991
BURNETT, GREY & CO., INC.
April 30, 1990 - March 14, 1991
WAINWRIGHT, AUSTIN, STONE & CO.
June 28, 1988 - May 10, 1990
OSBORNE, STERN & COMPANY, INC.
February 24, 1988 - June 29, 1988
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NORTHRIDGE CAPITAL CORPORATION
CRD#: 16467 / SEC#: , 8-36544
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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