Robert E. Guthrie
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 Edgar Guthrie, who also goes by Bob Guthrie, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1973. Robert had worked at 4 firms and has passed the Series 65, Series 63, 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
July 31, 2013 - December 31, 2016
VOYA FINANCIAL ADVISORS, INC.
November 20, 1997 - December 31, 2012
CETERA INVESTMENT SERVICES LLC
February 18, 1997 - July 2, 2013
CETERA INVESTMENT SERVICES LLC
August 27, 1994 - February 18, 1997
VOYA FINANCIAL ADVISORS, INC.
December 20, 1988 - August 9, 1994
PRIMELINE SECURITIES CORP.
January 16, 1986 - December 16, 1988
LOWRY FINANCIAL SERVICES CORPORATION
August 14, 1973 - April 28, 1988
VOYA FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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 1
Date: 8/7/1973
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
