Robert A. Saffer
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 Ainsworth Saffer was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1990. Robert had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 3, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2018 - August 1, 2020
ETFMG FINANCIAL LLC
July 18, 2017 - October 31, 2018
ANOS CAPITAL, LLC
October 19, 2015 - November 30, 2016
CANTOR FITZGERALD & CO.
June 17, 2014 - June 27, 2014
SCOUT TRADING, LLC
October 1, 2008 - April 4, 2012
J.P. MORGAN SECURITIES LLC
March 21, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
February 13, 1998 - February 16, 2005
LEHMAN BROTHERS INC.
January 1, 1996 - August 1, 1997
BARCLAYS CAPITAL INC.
December 2, 1992 - January 1, 1996
BARCLAYS DE ZOETE WEDD INCORPORATED
January 24, 1990 - November 27, 1992
ING BARING (U.S.) SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 6/18/2024
General Securities Representative ExaminationCurrent Firm
ETFMG FINANCIAL LLC
CRD#: 284172 / SEC#: , 8-69792
Contact information
Documents
Red Flags
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