Robert D. Fuchs
Professional summary
Robert David Fuchs was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Robert had worked at 6 firms, which includes FINANCIAL WEST GROUP, CAMBRIA CAPITAL LLC, NORTHEAST SECURITIES LLC, FIRST ALLIED SECURITIES INC., DUNCAN CAPITAL LLC, JOSEPHTHAL & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2007 - November 20, 2008
FINANCIAL WEST GROUP
June 30, 2005 - January 22, 2007
CAMBRIA CAPITAL, LLC
May 10, 2005 - June 14, 2005
NORTHEAST SECURITIES, LLC
July 10, 2002 - December 16, 2002
FIRST ALLIED SECURITIES, INC.
January 7, 2002 - April 14, 2005
DUNCAN CAPITAL LLC
November 1, 2001 - January 14, 2002
FIRST ALLIED SECURITIES, INC.
January 18, 1993 - October 2, 2001
JOSEPHTHAL & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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