Robert S. Harrison
Professional summary
Robert Sippel Harrison was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Robert had worked at 6 firms, which includes UVEST FINANCIAL SERVICES GROUP INC., VALIC FINANCIAL ADVISORS INC., PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., UR FINANCIAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2000 - July 7, 2000
UVEST FINANCIAL SERVICES GROUP, INC.
November 5, 1998 - September 7, 1999
VALIC FINANCIAL ADVISORS, INC.
March 7, 1996 - September 8, 1999
PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY
May 2, 1990 - February 5, 1997
METROPOLITAN LIFE INSURANCE COMPANY
April 25, 1990 - February 5, 1997
MSI FINANCIAL SERVICES, INC.
November 30, 1988 - April 25, 1990
UR FINANCIAL, 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
UVEST FINANCIAL SERVICES GROUP, INC.
CRD#: 13787 / SEC#: 801-47970, 8-28549
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | PARENT COMPANY | |
| ARNOLD, DAN HOGAN JR | MANAGING DIRECTOR, HEAD OF STRATEGY | 2557410 |
| CASADY, MARK STEPHEN | CHAIRMAN OF THE BOARD | 2313239 |
| DWYER, WILLIAM EDWARD III | MANAGING DIRECTOR, PRESIDENT, NATIONAL SALES & MARKETING | 1274680 |
| LANK, STEPHEN | SVP OPERATIONS | 2997028 |
| MCDERMOTT, JOHN JEROME JR. | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | 4025460 |
| MITCHELL, CHRISTOPHER MILLS | FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE | 1347526 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
Red Flags
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