Robert C. Foster
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 Clark Foster, AIF®, ChFC®, CLU®, who also goes by Bob Foster, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, Series 99TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2020 - June 9, 2021
USI ADVISORS
February 11, 2011 - May 20, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 10, 2011 - May 20, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 5, 2006 - February 11, 2011
QA3 FINANCIAL LLC
May 5, 2006 - February 11, 2011
QA3 FINANCIAL CORP.
February 21, 2002 - May 1, 2006
PRUCO SECURITIES, LLC.
August 28, 1993 - May 1, 2006
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
USI ADVISORS
CRD#: 108113 / SEC#: 801-56622
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 7TO
Date: 12/13/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/13/2022
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 12/13/2022
Operations Professional ExaminationCurrent Firm
USI ADVISORS
CRD#: 108113 / SEC#: 801-56622
Contact information
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,346 |
| AUM (Assets Under Management) | $ 48,864,913,348 |
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.
