Robert F. Sanborn
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 Fredrick Sanborn JR was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 10 firms and has passed the Series 65, 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
October 6, 2016 - July 17, 2018
AUGUSTAR DISTRIBUTORS, INC.
August 1, 2013 - March 7, 2016
NATIONWIDE INVESTMENT ADVISORS, LLC
November 2, 2004 - March 7, 2016
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 18, 2004 - November 2, 2004
1717 CAPITAL MANAGEMENT COMPANY
October 15, 2002 - February 2, 2004
METROPOLITAN LIFE INSURANCE COMPANY
October 15, 2002 - February 2, 2004
MSI FINANCIAL SERVICES, INC.
May 25, 2001 - March 18, 2004
NEW ENGLAND SECURITIES
January 8, 1997 - May 11, 2001
MUTUAL OF AMERICA SECURITIES LLC
July 24, 1995 - May 11, 2001
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
March 23, 1992 - July 18, 1995
VERAVEST INVESTMENTS, 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
AUGUSTAR DISTRIBUTORS, INC.
CRD#: 41081 / SEC#: , 8-49296
Contact information
FINRA licenses (42 States and Territories)
Documents
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.
