Robert J. Carlyon
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 James Carlyon JR, who also goes by Robert J Carlyon II, Robert J Carlyon, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1991. Robert had worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2016 - July 16, 2021
PURSHE KAPLAN STERLING INVESTMENTS
October 28, 2013 - March 11, 2024
SYNTAL CAPITAL PARTNERS, LLC
October 11, 2013 - March 14, 2016
PURSHE KAPLAN STERLING INVESTMENTS
October 8, 2004 - October 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 1999 - August 19, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 27, 1996 - October 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 1995 - November 25, 1996
MORGAN STANLEY DW INC.
January 11, 1991 - September 19, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 3/20/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 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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