Robert S. Roon
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 Scott Roon was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1990. Robert had worked at 9 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
January 14, 2002 - May 21, 2002
SALOMON GREY FINANCIAL CORPORATION
September 26, 2001 - February 4, 2002
CAPITAL GROWTH FINANCIAL, LLC
July 31, 2001 - December 5, 2001
ARGO SECURITIES CORP.
October 14, 1998 - May 30, 2001
MERIT CAPITAL ASSOCIATES, INC.
July 18, 1997 - September 30, 1998
AMERICAN FRONTEER FINANCIAL CORPORATION
July 10, 1997 - July 30, 1997
MORGAN GRANT CAPITAL CORP.
April 4, 1996 - July 28, 1997
INVESTORS ASSOCIATES, INC.
July 22, 1994 - April 12, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 13, 1990 - August 4, 1994
HIBBARD BROWN & 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
SALOMON GREY FINANCIAL CORPORATION
CRD#: 43413 / SEC#: , 8-50268
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 5 |
| Financial | 1 |
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.
