Robert J. Figliozzi
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 John Figliozzi, who also goes by Robert J Figliozzi, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 11 firms and has passed the Series 16 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2002 - October 22, 2004
MIDSOUTH CAPITAL, INC.
May 14, 1999 - May 8, 2000
INSTITUTIONAL EQUITY CORPORATION
January 25, 1994 - May 13, 1997
STUART, COLEMAN & CO., INC.
November 5, 1991 - October 14, 1993
THE STAMFORD COMPANY, INC.
October 10, 1991 - November 11, 1991
JOSEPHTHAL & CO., INC.
January 17, 1990 - October 18, 1991
JJC SECURITIES CO., INC.
January 2, 1990 - January 29, 1990
HANIFEN, IMHOFF SECURITIES CORP.
February 20, 1985 - August 21, 1989
MOORE & SCHLEY SECURITIES CORPORATION
September 19, 1983 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
October 7, 1971 - February 5, 1982
ROBERTSON SECURITIES CORPORATION
January 22, 1969 - October 8, 1971
MAYFLOWER SECURITIES CO., INC.
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
MIDSOUTH CAPITAL, INC.
CRD#: 35039 / SEC#: , 8-46620
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILL, MARK DAVID | CHAIRMAN, BOARD MEMBER, AND SHAREHOLDER | 1056054 |
| CAMPBELL, CYNTHIA H | BOARD MEMBER | |
| HILL, EDWARD DAVID JR | SHAREHOLDER | |
| HILL, ROBIN | SHAREHOLDER | |
| JAMA HOLDINGS | SHAREHOLDER | |
| BATEH, RONALD JAMES | PRESIDENT, CEO, RIA CCO, BOARD MEMBER, SHAREHOLDER | 869380 |
| BRUSH, EDWARD | BOARD MEMBER | |
| MURRAY, SANDRA ANN | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 1407964 |
| ROYSTER, COLLIN HARDING | REGISTERED PRINCIPAL | 843043 |
| VOOS, VIRGINIA LAWRENCE | FINOP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 2 |
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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