Robert D. Watral
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 David Watral JR was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1997. Robert had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2014 - September 23, 2020
EQUITABLE DISTRIBUTORS, LLC
April 10, 2013 - January 10, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 25, 2007 - May 11, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 15, 2007 - May 15, 2007
ADP BROKER-DEALER, INC.
May 16, 2005 - September 27, 2006
MEEDER DISTRIBUTION SERVICES, INC.
July 3, 2002 - July 31, 2003
TOWER SQUARE SECURITIES, INC.
June 15, 1998 - November 8, 2001
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
July 15, 1997 - May 29, 1998
EATON VANCE DISTRIBUTORS, 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
EQUITABLE DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
Red Flags
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