Robert C. Fay
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 Charles Fay, who also goes by Bob Fay, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1972. Robert had worked at 12 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2001 - January 20, 2006
FINANCIAL WEST GROUP
December 5, 2000 - January 20, 2006
FINANCIAL WEST GROUP
November 27, 2000 - December 12, 2000
CHAUNER SECURITIES, INC.
January 1, 1999 - August 31, 2006
BANKERS INVESTMENT MANAGEMENT, INC.
November 7, 1996 - November 2, 2000
BIRCHTREE FINANCIAL SERVICES LLC
June 17, 1987 - February 8, 1996
VSR FINANCIAL SERVICES, INC.
August 23, 1985 - October 31, 1986
CAPITAL SECURITIES GROUP, INC.
October 27, 1983 - August 14, 1985
THE GEORGETOWN GROUP, INC.
October 11, 1978 - June 16, 1979
ROCKE FINANCIAL PLANNING COMPANY
August 23, 1978 - July 17, 1984
TOWER SQUARE SECURITIES, INC.
December 20, 1976 - April 13, 1978
TRANSAMERICA FINANCIAL ADVISORS, INC.
October 4, 1972 - March 5, 1977
OSAIC FA, INC.
October 4, 1972 - January 15, 1979
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
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 1
Date: 9/29/1972
Registered Representative ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
