Robert M. Black
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 Michael Black was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 5 firms and has passed the Series 65, Series 63 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
May 12, 2004 - December 13, 2004
GUNNALLEN FINANCIAL, INC
July 24, 1997 - May 21, 2002
DEMPSEY FINANCIAL NETWORK, INC.
March 17, 1997 - July 10, 1997
GUNNALLEN FINANCIAL, INC
January 2, 1996 - March 14, 1997
TUSCANY EQUITY MANAGEMENT CORPORATI0N
April 25, 1994 - August 23, 1994
INVESTORS ASSOCIATES, INC.
July 16, 1992 - March 10, 1994
CHATFIELD DEAN & 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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
