Robert W. Uria
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 Walter Uria was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1992. Robert had worked at 7 firms and has passed the Series 63, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2011 - December 17, 2012
NDX TRADING, INC.
November 9, 2010 - June 30, 2011
BROKERSXPRESS LLC
October 9, 2008 - June 30, 2011
BROKERSXPRESS LLC
February 17, 2004 - October 1, 2008
TERRA NOVA FINANCIAL, LLC
May 13, 1999 - February 9, 2004
PEREGRINE FINANCIALS & SECURITIES, INC.
March 16, 1994 - August 18, 1998
REGAL SECURITIES, INC.
September 8, 1992 - January 21, 1994
H.J. MEYERS & CO., INC.
July 23, 1992 - August 26, 1992
CHATFIELD DEAN & CO., 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 55
Date: 4/6/2000
Limited Representative-Equity Trader ExamCurrent Firm
NDX TRADING, INC.
CRD#: 39940 / SEC#: , 8-48905
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NDX HOLDINGS, INC. | SHAREHOLDER | |
| THOMPSON, CHAD MICHAEL | PRESIDENT/CEO/FINOP/CCO/MUNICIPAL SECURITIES PRINCIPAL | 4116364 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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