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RP

Robert Pemble

INVESCO CAPITAL MARKETS
New York, NY 10281
Some features on this profile are disabled
CRD#: 2396984
RP

Professional summary

Robert Pemble, who also goes by Robert Hilton Pemble II, is a registered financial professional currently at INVESCO CAPITAL MARKETS, INC. located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1993. Robert has worked at 2 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert Hilton Pemble Ii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Pemble's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 6, 2021 - Present

INVESCO CAPITAL MARKETS, INC.

Office #1: 225 Liberty St. 11th Floor, New York, NY 10281
BD
CRD#: 6939
New York, NY
Past

September 13, 1993 - April 24, 1999

WILLIAM R. HOUGH & CO.

BD
CRD#: 2235
ST. PETERSBURG, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/7/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 6/16/2021
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/5/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/16/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/27/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/10/1993
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC

Current Firm

IC
INVESCO CAPITAL MARKETS, INC.
INVESCO CAPITAL MARKETS, INC. | ZEDD SECURITIES | VAN KAMPEN/AMERICAN CAPITAL DISTRIBUTORS, INC. | VAN KAMPEN MERRITT INC. | VAN KAMPEN FUNDS INC. | VAN KAMPEN FILKIN & MERRITT INC. | VAN KAMPEN AMERICAN CAPITAL DISTRIBUTORS, INC.

CRD#: 6939 / SEC#: , 8-19412

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
11 Greenway Plaza Suite 1000, Houston, TX 77046
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046
Phone number
(713) 214-1919
Established
Delaware since 11/01/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
INVESCO ADVISERS, INC.OWNER
GEYER, WILLIAM SENGDIRECTOR AND CO-PRESIDENT2250035
GREGSON, MARK WILLIAMCHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/FINOP2630230
HANCOCK, TRISHA BELLCHIEF COMPLIANCE OFFICER4373744
HARTIGAN, BRIAN CHRISTOPHERDIRECTOR AND CO-PRESIDENT4227272
SAUERBORN, THOMAS JPRINCIPAL OPERATIONS OFFICER1554859
WISDOM, CRISSIE MCMENNAMYANTI-MONEY LAUNDERING COMPLIANCE OFFICER2793857

Disclosures

Regulatory Event6

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.

Company Information

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939New York, NY 10281

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