Robert C. Koeller
Professional summary
Robert Charles Koeller was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Robert had worked at 7 firms, which includes QUESTAR CAPITAL CORPORATION, CETERA INVESTMENT SERVICES LLC, RAYMOND JAMES FINANCIAL SERVICES INC., CONTINENTAL CAPITAL INVESTMENT SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, COMERICA FINANCIAL SERVICES INC., FIMCO SECURITIES GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2006 - June 15, 2009
QUESTAR CAPITAL CORPORATION
March 2, 2000 - May 15, 2006
CETERA INVESTMENT SERVICES LLC
April 22, 1999 - February 15, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 28, 1998 - April 12, 1999
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
January 8, 1997 - July 10, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 1994 - December 9, 1994
COMERICA FINANCIAL SERVICES, INC.
April 11, 1994 - December 31, 1994
FIMCO SECURITIES GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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