Robert A. Tryon
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 Anthony Tryon was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 8 firms and has passed the Series 63, Series 7, Series 6 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2012 - January 29, 2014
SANDLAPPER SECURITIES, LLC
January 14, 2010 - January 3, 2011
BLUEROCK CAPITAL MARKETS LLC
February 2, 2006 - November 10, 2008
D.A. DAVIDSON & CO.
November 7, 2002 - February 2, 2006
NORTHLAND SECURITIES, INC.
January 1, 2001 - November 5, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
April 12, 1999 - January 1, 2001
JOHN G. KINNARD AND COMPANY, INCORPORATED
December 21, 1993 - March 29, 1994
ROBERT W. BAIRD & CO. INCORPORATED
December 21, 1993 - March 29, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
Current Firm
SANDLAPPER SECURITIES, LLC
CRD#: 137906 / SEC#: , 8-67128
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
