Robert A. Carlsson
Professional summary
Robert Arne Carlsson was barred by the SEC 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 1992. Prior to being barred, Robert had worked at 8 firms, which includes MOODY CAPITAL SOLUTIONS INC, 21 CAPITAL GROUP INC., ADVANCED EQUITIES INC., MADISON SECURITIES INC., CITIGROUP GLOBAL MARKETS INC., PRUDENTIAL EQUITY GROUP LLC, CIBC WORLD MARKETS CORP., CHATFIELD DEAN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2010 - September 29, 2010
MOODY CAPITAL SOLUTIONS, INC
October 27, 2003 - January 7, 2008
21 CAPITAL GROUP, INC.
December 21, 1999 - June 27, 2001
ADVANCED EQUITIES, INC.
November 26, 1996 - December 1, 1999
MADISON SECURITIES, INC.
November 16, 1994 - November 7, 1996
CITIGROUP GLOBAL MARKETS INC.
January 20, 1993 - November 23, 1994
PRUDENTIAL EQUITY GROUP, LLC
August 7, 1992 - December 23, 1992
CIBC WORLD MARKETS CORP.
July 17, 1992 - August 5, 1992
CHATFIELD DEAN & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
MOODY CAPITAL SOLUTIONS, INC
CRD#: 15989 / SEC#: , 8-32928
Contact information
FINRA licenses (9 States and Territories)
Red Flags
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