Robert W. Hathaway
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 William Hathaway, who also goes by Robert William Hathway, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 9 firms and has passed the Series 66, Series 63, SIE 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
September 25, 2018 - November 4, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 24, 2018 - November 4, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
December 22, 2014 - September 24, 2018
RAYMOND JAMES & ASSOCIATES, INC.
December 19, 2014 - September 24, 2018
RAYMOND JAMES & ASSOCIATES, INC.
November 7, 2012 - December 22, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 19, 2011 - December 22, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - September 26, 2011
MORGAN STANLEY
March 19, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 17, 2008 - April 2, 2008
UBS FINANCIAL SERVICES INC.
August 12, 2006 - April 2, 2008
UBS FINANCIAL SERVICES INC.
October 13, 2000 - August 12, 2006
PIPER SANDLER & CO.
March 5, 1993 - October 23, 2000
PRUDENTIAL EQUITY GROUP, 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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
