Rudolph G. Hlavek
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.
Rudolph George Hlavek was a registered financial professional .
Rudolph is a previously registered financial professional and started their career in finance in 1966. Rudolph had worked at 9 firms and has passed the Series 63, Series 41, Series 5, PC, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 1998 - May 25, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
July 31, 1993 - December 31, 2001
CITIGROUP GLOBAL MARKETS INC.
September 16, 1991 - June 30, 1995
THE ROBINSON-HUMPHREY COMPANY, LLC
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
October 26, 1973 - November 8, 1974
HAYDEN STONE INC.
August 17, 1973 - July 31, 1993
LEHMAN BROTHERS INC.
January 11, 1972 - October 26, 1973
H. HENTZ & CO., INC.
February 22, 1971 - January 15, 1972
REYNOLDS SECURITIES, INC.
December 13, 1966 - April 22, 1971
GOODBODY & CO. INCORPORATED
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 41
Date: 5/4/1985
NYSE Allied Member ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 8/12/1964
Registered Representative ExaminationSeries 40
Date: 7/12/1973
Registered Principal ExaminationSeries 12
Date: 3/4/1970
NYSE Branch Manager ExaminationCurrent Firm
THE ROBINSON-HUMPHREY COMPANY, LLC
CRD#: 723 / SEC#: , 8-27190
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SALOMON SMITH BARNEY INC. | OWNER | 7059 |
| CLEMENTS, GEORGE BUNCH | SENIOR VICE PRESIDENT | 48542 |
| DAY, MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER | 2344142 |
| JANIAK, A.RICHARD RICHARD JR | CHIEF EXECUTIVE OFFICER AND DIRECTOR | |
| KUKLENSKI, KIRBY JUDE | EXECUTIVE VICE PRESIDENT | 732315 |
| MORGAN, MICHELLE MARIE | CROP | 2413332 |
| SORDIPREITE, VIRGINIA A | CHIEF COMPLIANCE OFFICER | 2007039 |
| STIDHAM, REESE MCGREGOR III | SENIOR VICE PRESIDENT | 808174 |
| SWIFT, HENRY WOODRUFF JR | SENIOR VICE PRESIDENT | 441328 |
| TRAYNOR, FRANCIS MOFFITT JR | SENIOR VICE PRESIDENT | 449006 |
| ZIMMERMAN, JOHN CONRAD JR | SENIOR VICE PRESIDENT | 476714 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 11 |
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.
