Robert K. Gump
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 Kinsley Gump, who also goes by Rob Gump, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1971. Robert had worked at 15 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2013 - November 14, 2024
OAK TREE SECURITIES, INC.
May 20, 2011 - February 15, 2013
SANDLAPPER SECURITIES, LLC
October 1, 2009 - July 1, 2011
STEPHEN DOUGLAS INVESTMENT ADVISORY, INC.
November 13, 2003 - January 6, 2011
NORTH COAST MONEY MANAGEMENT
January 6, 2003 - May 17, 2011
HARRISON DOUGLAS, INC.
November 30, 1998 - January 21, 2003
SENTRA SECURITIES CORPORATION
November 16, 1998 - January 21, 2003
SENTRA SECURITIES CORPORATION
July 26, 1994 - August 4, 1994
OSAIC WEALTH, INC.
July 20, 1994 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
July 18, 1994 - July 22, 1994
OSAIC WEALTH, INC.
April 12, 1994 - August 2, 1994
SOARES FINANCIAL GROUP, INC.
February 21, 1989 - April 13, 1994
WEALTH RESOURCE CAPITAL CORPORATION
January 13, 1987 - February 25, 1989
VANGUARD FINANCIAL GROUP, INC.
May 16, 1978 - January 5, 1987
TITAN/VALUE EQUITIES GROUP, INC.
February 24, 1977 - June 24, 1978
INVESTOGENIC SERVICES, INC.
March 4, 1975 - November 8, 1976
INTEGRATED RESOURCES EQUITY CORPORATION
February 16, 1971 - January 6, 1974
GREEN HILL FINANCIAL SERVICE CORPORATION
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/1/1969
Registered Representative ExaminationCurrent Firm
OAK TREE SECURITIES, INC.
CRD#: 18126 / SEC#: 801-39201, 8-36138
Contact information
FINRA licenses (19 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 3,689,200 |
Disclosures
| Regulatory Event | 2 |
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.
