Robert A. Ennis
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 Anthony Ennis was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 5 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
June 9, 1994 - May 19, 1999
TRAFALGAR FINANCIAL SERVICES, INC.
November 15, 1993 - May 18, 1994
G.R. STUART & COMPANY, INC.
March 11, 1991 - November 25, 1991
CHARLES SCHWAB & CO., INC.
November 30, 1988 - February 5, 1991
MORGAN STANLEY DW INC.
July 20, 1988 - October 14, 1988
H.J. MEYERS & 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
TRAFALGAR FINANCIAL SERVICES, INC.
CRD#: 36099 / SEC#: , 8-47170
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.
