Robert J. Dwyer
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 John Dwyer, who also goes by Robert J Dwyer, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1997. Robert had worked at 4 firms and has passed the Series 66, Series 63, SIE 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
April 25, 2008 - December 13, 2018
PROFUNDS DISTRIBUTORS, INC.
October 30, 2006 - April 4, 2008
MKM PARTNERS LLC
February 23, 2006 - October 3, 2006
NEUBERGER BERMAN BD LLC
December 12, 2005 - October 3, 2006
NEUBERGER BERMAN BD LLC
February 23, 2004 - December 2, 2005
KEEFE, BRUYETTE & WOODS, INC.
July 25, 2002 - November 6, 2003
NEUBERGER BERMAN BD LLC
April 18, 1997 - November 6, 2003
NEUBERGER BERMAN BD 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
PROFUNDS DISTRIBUTORS, INC.
CRD#: 19541 / SEC#: , 8-37601
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
