Robert G. Leary
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 Graham Leary was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2016 - May 18, 2017
NUVEEN SECURITIES, LLC
August 7, 2013 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
February 25, 2013 - May 8, 2013
SECURITIES RESEARCH, INC. OF FLORIDA
August 16, 2010 - March 3, 2011
VOYA INVESTMENTS DISTRIBUTOR, LLC
March 3, 2008 - August 16, 2010
ING INVESTMENT MANAGEMENT SERVICES LLC
June 9, 1995 - July 27, 2007
AIG FINANCIAL SECURITIES CORP.
April 6, 1993 - April 25, 1995
JPMSI
State Registrations and Notice Filings
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Exams
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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