Robert H. Hesse
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 Henry Hesse was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 8 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 1991 - August 11, 1992
DICKINSON & CO.
April 13, 1981 - December 31, 1990
SWARTWOOD, HESSE INC.
January 29, 1981 - May 14, 1981
R. E. BOLTON & CO., INC.
April 7, 1980 - February 23, 1981
SWANTON SECURITIES, INC.
August 21, 1978 - April 28, 1980
FAHERTY & FAHERTY INC.
October 6, 1977 - December 10, 1982
GOODSON PARRY COON & COSTA INC.
September 26, 1972 - November 11, 1977
FAHERTY & FAHERTY INC.
June 4, 1971 - October 16, 1972
EDWARDS & HANLY
September 2, 1970 - June 28, 1971
W E HUTTON & CO INC
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 1
Date: 10/21/1968
Registered Representative ExaminationSeries 40
Date: 2/20/1975
Registered Principal ExaminationCurrent Firm
DICKINSON & CO.
CRD#: 689 / SEC#: , 8-7503
Contact information
Documents
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.
