Robert E. Liessem
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 Edmund Liessem JR, who also goes by Robert E Liessem Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 12 firms and has passed the Series 63, Series 6TO, Series 7TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2021 - March 1, 2024
NEXPOINT SECURITIES, INC.
May 2, 2018 - August 16, 2019
SELECT CAPITAL CORPORATION
August 8, 2016 - April 19, 2018
STRATCAP SECURITIES, LLC
May 20, 2015 - January 4, 2016
ORCHARD SECURITIES, LLC
November 30, 2011 - March 26, 2012
REALTY CAPITAL SECURITIES, LLC
May 26, 2004 - October 7, 2010
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 26, 2001 - July 10, 2002
THE KEY GROUP INC.
March 14, 2001 - April 11, 2001
OLD SLIP CAPITAL MANAGEMENT, INC.
October 27, 1997 - April 26, 2000
COREBRIDGE CAPITAL SERVICES, INC.
June 24, 1997 - September 2, 1997
SUNAMERICA SECURITIES, INC.
June 10, 1996 - January 16, 1997
TOWER SQUARE SECURITIES, INC.
July 27, 1993 - March 15, 1996
GLOBAL ATLANTIC DISTRIBUTORS, 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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
NEXPOINT SECURITIES, INC.
CRD#: 165013 / SEC#: , 8-69128
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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