Robert D. Sommer

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CRD#: 2426594

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 David Sommer 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 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 10, 2014 - November 13, 2015

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

September 2, 2014 - November 13, 2015

QUEST CAPITAL STRATEGIES, INC.

RIA

CRD#: 16783

CENTER VALLEY, PA

Past

October 28, 2010 - September 12, 2012

LINCOLN INVESTMENT

RIA

CRD#: 519

BETHLEHEM, PA

Past

October 15, 2010 - September 12, 2012

LINCOLN INVESTMENT

CRD#: 519

BETHLEHEM, PA

Past

June 1, 2009 - May 7, 2010

MORGAN STANLEY

RIA

CRD#: 149777

ALLENTOWN, PA

Past

June 1, 2009 - May 7, 2010

MORGAN STANLEY

CRD#: 149777

ALLENTOWN, PA

Past

August 14, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

WAYNE, PA

Past

August 14, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

WAYNE, PA

Past

September 1, 2005 - May 29, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

ALLENTOWN, PA

Past

November 16, 1998 - December 12, 2002

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

MALVERN, PA

Past

June 30, 1998 - May 27, 2004

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

December 9, 1993 - August 5, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 9, 1993 - August 5, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

IAR

Series 65

Date: 12/11/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/15/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/13/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/8/1993

General Securities Representative Examination

Current Firm

QUEST CAPITAL STRATEGIES, INC.

QUEST CAPITAL | QUEST CAPITAL STRATEGIES, INC. | QUEST CAPITAL INVESTMENTS, INC.

CRD#: 16783 / SEC#: 801-77927, 8-34532

Terminated by SEC on 02/22/2020

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Contact information

Main Address

Laguna Hills, CA

Mailing Address

Phone number

Established

California since 03/18/1983

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
TSAI, CAROLYNE	CEO, CCO, OFFICE MANAGER	2272768
TSAI, CAROLYNE	CFO, FIN OP	2272768

Disclosures

Regulatory Event	5
Arbitration	6

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.

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Advisor Monitoring

Firm Stability Insights

Robert D. Sommer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

QUEST CAPITAL STRATEGIES, INC.

LINCOLN INVESTMENT

LINCOLN INVESTMENT

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

AMERIPRISE FINANCIAL SERVICES, LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/11/2008

Series 63

Date: 12/15/1993

SIE

Date: 11/13/2015

Series 7

Date: 12/8/1993

Current Firm

QUEST CAPITAL STRATEGIES, INC.

Contact information

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

QUEST CAPITAL STRATEGIES, INC.

TRUST BUT VERIFY

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