Robert L. Earl
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 L Earl, who also goes by Robert Lawrence Earl, 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 63, SIE, Series 79, Series 7, Series 3, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2020 - December 13, 2022
UMERGENCE LLC
April 27, 2011 - November 28, 2018
BNP PARIBAS SECURITIES CORP.
April 1, 2004 - March 17, 2008
BARCLAYS CAPITAL INC.
September 12, 1991 - March 24, 2004
GOLDMAN SACHS & CO. 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
Current Firm
UMERGENCE LLC
CRD#: 284368 / SEC#: , 8-69801
Contact information
FINRA licenses (53 States and Territories)
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.
