Robert O. Abbott
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 Oakley Abbott III, who also goes by Robert Oakley Abbott, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1974. Robert had worked at 6 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2004 - April 4, 2019
HARVEST CAPITAL ADVISORS INC.
October 22, 1998 - May 1, 2003
PACIFIC WEST FINANCIAL CONSULTANTS INC
October 5, 1998 - May 1, 2003
PACIFIC WEST SECURITIES, INC.
April 20, 1994 - October 1, 1998
CETERA WEALTH SERVICES, LLC
April 7, 1994 - November 4, 1998
JOHN HANCOCK DISTRIBUTORS LLC
May 1, 1974 - April 8, 1994
LINCOLN FINANCIAL DISTRIBUTORS, 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 1
Date: 4/25/1974
Registered Representative ExaminationCurrent Firm
HARVEST CAPITAL ADVISORS INC.
CRD#: 126150 / SEC#: 801-61928
Contact information
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.
