Robert A. Gardiner
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 Aiken Gardiner, who also goes by Bud Gardiner IV, Bud Gardiner, Buddy Gardiner, Robert Aiken Gardiner Iv, Robert Aiken Gardner Iv, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 6 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 2, 2017 - October 23, 2017
FORESTERS FINANCIAL SERVICES, INC.
July 11, 1997 - August 31, 1999
LASALLE ST SECURITIES, L.L.C.
October 14, 1994 - July 25, 1997
CITIGROUP GLOBAL MARKETS INC.
May 24, 1993 - October 28, 1994
LEHMAN BROTHERS INC.
May 3, 1990 - May 25, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 1989 - April 4, 1990
LEHMAN BROTHERS 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
FORESTERS FINANCIAL SERVICES, INC.
CRD#: 305 / SEC#: , 8-13891
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Civil Event | 3 |
| Arbitration | 18 |
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.
