Robert P. Forfia
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 Paul Forfia, who also goes by Bob Forfia, Robert P Forfia, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1967. Robert had worked at 23 firms and has passed the Series 65, Series 63, SIE, Series 000 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
October 22, 2014 - July 6, 2015
TRUST ADVISORY GROUP LTD
October 17, 2014 - July 6, 2015
AGES FINANCIAL SERVICES, LTD.
August 7, 2013 - September 12, 2013
MORGAN STANLEY
June 17, 2013 - September 12, 2013
MORGAN STANLEY
June 28, 2010 - July 26, 2011
AGES FINANCIAL SERVICES, LTD.
January 26, 2009 - July 1, 2009
HUDSON SECURITIES,INC.
December 16, 2003 - December 31, 2008
JEFFERIES LLC
July 1, 2003 - December 18, 2003
WELLS FARGO CLEARING SERVICES, LLC
May 21, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 29, 1998 - May 7, 1999
UBS SECURITIES LLC
October 12, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
November 15, 1996 - October 14, 1997
BLUESTONE CAPITAL CORP.
February 8, 1996 - November 18, 1996
AMERICORP SECURITIES, INC.
June 17, 1994 - January 25, 1996
PRIME CHARTER LTD.
May 31, 1994 - June 2, 1994
CIBC WORLD MARKETS CORP.
January 24, 1994 - April 19, 1994
WG TRADING COMPANY LIMITED PARTNERSHIP
November 30, 1992 - November 17, 1993
ALEX. BROWN & SONS INCORPORATED
December 9, 1991 - October 29, 1992
DEUTSCHE BANK SECURITIES INC.
April 30, 1991 - November 12, 1991
SENTRA SECURITIES CORPORATION
July 23, 1985 - December 5, 1990
LEHMAN BROTHERS INC.
October 23, 1984 - August 2, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
July 23, 1984 - October 18, 1984
BECKER PARIBAS INCORPORATED
February 22, 1978 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
April 2, 1974 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
June 19, 1967 - May 25, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
June 16, 1967 - December 5, 1990
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
TRUST ADVISORY GROUP LTD
CRD#: 106926 / SEC#: 801-46919
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 000
Date: 6/16/1967
General Securities Principal ExaminationSeries 1
Date: 6/16/1967
Registered Representative ExaminationCurrent Firm
TRUST ADVISORY GROUP LTD
CRD#: 106926 / SEC#: 801-46919
Contact information
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,720 |
| AUM (Assets Under Management) | $ 494,407,359 |
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.
