Robert W. Sprague
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 Whitney Sprague, who also goes by Robert Sprague, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 57, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2019 - June 7, 2019
CANTOR FITZGERALD & CO.
September 12, 2017 - January 22, 2019
RBC CAPITAL MARKETS, LLC
March 6, 2017 - July 31, 2017
BRIGHT TRADING, LLC
November 5, 2008 - July 9, 2010
JEFFERIES LLC
October 8, 2008 - November 6, 2008
ICP SECURITIES LLC
October 1, 2008 - October 13, 2008
J.P. MORGAN SECURITIES LLC
August 4, 2004 - October 1, 2008
J.P. MORGAN SECURITIES INC.
May 9, 2001 - August 10, 2004
DEUTSCHE BANK SECURITIES INC.
February 22, 1990 - April 25, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 21, 1989 - April 21, 1989
PRINCETON SECURITIES CORPORATION
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
Series 55
Date: 5/16/2000
Limited Representative-Equity Trader ExamCurrent Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
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