Alan C. Robert
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.
Alan Claude Robert, who also goes by Alain Claude Robert, Alan Robert, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1993. Alan had worked at 9 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
April 16, 1996 - June 20, 1996
TEXAS CAPITAL SECURITIES, INC.
February 5, 1996 - March 6, 1996
LH ROSS & COMPANY, INC.
August 29, 1995 - November 6, 1995
PARAGON CAPITAL MARKETS, INC.
June 30, 1995 - August 29, 1995
HUNTER INTERNATIONAL SECURITIES, INC.
January 11, 1995 - March 31, 1995
GRUNTAL & CO., L.L.C.
July 6, 1994 - January 18, 1995
HUNTER INTERNATIONAL SECURITIES, INC.
May 12, 1994 - July 11, 1994
GKN SECURITIES CORP.
January 17, 1994 - May 12, 1994
JOSEPH CHARLES & ASSOC., INC.
November 15, 1993 - January 18, 1994
INVESTORS ASSOCIATES, INC.
October 27, 1993 - November 10, 1993
CHATFIELD DEAN & CO., 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
Current Firm
TEXAS CAPITAL SECURITIES, INC.
CRD#: 25564 / SEC#: , 8-41799
Contact information
Documents
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.
