Robert L. Shatles
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 Lowell Shatles was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 14 firms and has passed the Series 63, Series 7 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
May 14, 2013 - June 18, 2013
GILFORD SECURITIES INCORPORATED
October 31, 2011 - May 3, 2013
BENJAMIN SECURITIES, INC.
September 28, 2010 - November 11, 2011
GILFORD SECURITIES INCORPORATED
October 28, 2009 - October 7, 2010
JOHN THOMAS FINANCIAL
August 3, 2009 - October 16, 2009
JHS CAPITAL ADVISORS, LLC
June 1, 2009 - July 24, 2009
AURA FINANCIAL SERVICES, INC.
July 29, 1999 - August 16, 1999
HD BROUS & CO., INC.
November 20, 1997 - December 31, 1998
INSTITUTIONAL EQUITY CORPORATION
November 28, 1994 - November 26, 1997
S. D. COHN & CO., INC.
September 27, 1994 - October 17, 1994
JOSEPHTHAL & CO., INC.
August 24, 1994 - October 26, 1994
D. BLECH & COMPANY, INCORPORATED
February 7, 1994 - August 3, 1994
MAIDSTONE FINANCIAL, INC.
October 4, 1993 - February 16, 1994
H G I
March 17, 1992 - October 7, 1993
WESTFIELD FINANCIAL CORPORATION
January 13, 1992 - March 5, 1992
STRATTON OAKMONT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GILFORD SECURITIES INCORPORATED
CRD#: 8076 / SEC#: , 8-24230
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Arbitration | 29 |
Red Flags
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