Robert L. Garrett
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 Lain Garrett III, who also goes by (iii) Lain Garrett III, Lain Garrett III, Garrett (iii) Lain Robert Lain Iii, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2022 - November 4, 2024
BLOOMBERG TRADEBOOK LLC
August 2, 2010 - September 8, 2021
JEFFERIES LLC
June 6, 2008 - October 3, 2008
TRADEWEB LLC
June 11, 1997 - March 9, 2007
CREDIT SUISSE SECURITIES (USA) LLC
February 18, 1994 - July 30, 1997
CITICORP INVESTMENT SERVICES
July 12, 1993 - January 14, 1994
TD AMERITRADE, INC.
October 14, 1992 - May 7, 1993
FSC SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 8/23/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BLOOMBERG TRADEBOOK LLC
CRD#: 40881 / SEC#: , 8-49219
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 9 |
Red Flags
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