Robert L. Garman
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 Lee Garman, who also goes by Bob Garman, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 1, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2015 - November 2, 2016
DINOSAUR FINANCIAL GROUP, L.L.C
October 4, 2013 - December 18, 2014
TAYLOR CAPITAL MANAGEMENT INC.
March 28, 2012 - October 1, 2013
MADISON AVENUE SECURITIES, LLC
March 28, 2012 - October 1, 2013
MADISON AVENUE SECURITIES, LLC
January 4, 2012 - January 12, 2012
KOVACK ADVISORS, INC.
January 4, 2012 - January 12, 2012
KOVACK SECURITIES INC.
September 16, 2010 - December 31, 2011
FOOTHILL SECURITIES, INC.
September 16, 2010 - December 31, 2011
FOOTHILL SECURITIES, INC.
February 2, 2010 - September 29, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 29, 2005 - February 25, 2009
FIRST ALLIED SECURITIES, INC.
June 13, 2005 - February 8, 2010
FIRST ALLIED SECURITIES, INC.
April 30, 2004 - June 13, 2005
ROUND HILL SECURITIES, INC.
July 1, 2003 - May 3, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - May 3, 2004
WELLS FARGO CLEARING SERVICES, LLC
December 10, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 15, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 20, 1970 - September 15, 1989
THOMSON MCKINNON SECURITIES 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
Series 5
Date: 1/21/1982
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 8/23/1956
Registered Representative ExaminationCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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