Robert S. Dickey
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 Stuart Dickey was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1990. Robert had worked at 3 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 11, 2011 - November 9, 2012
TEMPLAR SECURITIES, LLC
July 3, 1996 - November 13, 1998
HARRIS NESBITT CORP.
April 6, 1990 - July 19, 1995
MIZUHO SECURITIES USA LLC
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
TEMPLAR SECURITIES, LLC
CRD#: 148255 / SEC#: , 8-67994
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DICKEY, ROBERT STUART | MEMBER | |
| HEINE, ROBERT MATTHEW | MEMBER | 603114 |
| GARY SAGUI REVOCABLE TRUST | MEMBER | |
| SAGUI, MATTHEW QUENTIN | MEMBER | |
| JANE SAGUI ONE NINE NINE NINE IREVOCABLE TRUST | MEMBER | |
| MAUREEN SAGUI REVOCABLE TRUST | MEMBER | |
| SAGUI, GARY VINCENT | MANAGING MEMBER |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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