Robert A. Bachman
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 Alan Bachman, who also goes by Robert A Bachman, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 6 firms and has passed the Series 63, SIE 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
October 1, 2010 - December 31, 2015
THE O.N. EQUITY SALES COMPANY
December 5, 2007 - October 4, 2010
OSAIC SERVICES, INC.
September 22, 1999 - December 6, 2007
EMPOWER FINANCIAL SERVICES, INC.
May 21, 1999 - September 15, 1999
COMMERCE BROKERAGE SERVICES, INC.
July 5, 1991 - May 21, 1999
EMPOWER FINANCIAL SERVICES, INC.
October 12, 1990 - July 1, 1991
IFMG SECURITIES, INC.
March 21, 1989 - March 10, 1990
PRUDENTIAL EQUITY GROUP, LLC
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
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
