Robert W. Friedl
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 Wayne Friedl, who also goes by Bob Wayne Friedl Jr, Robert Wayne Friedl Jr, Robert Wayne Friedl, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2012 - November 29, 2012
WTS PROPRIETARY TRADING GROUP LLC
April 3, 2008 - May 24, 2010
BROKER DEALER FINANCIAL SERVICES CORP.
July 18, 2007 - November 9, 2007
CETERA ADVISORS LLC
June 7, 2006 - July 18, 2007
LEGACY FINANCIAL SERVICES, INC.
September 9, 2004 - May 10, 2006
RMIN SECURITIES, INC.
July 18, 2001 - June 23, 2004
ATLAS SECURITIES, LLC
March 18, 1997 - July 24, 2001
TRADEWAY SECURITIES GROUP, INC.
March 2, 1995 - February 24, 1997
GLOBAL CAPITAL SECURITIES CORPORATION
August 31, 1994 - November 29, 1994
WELLINGTON ASHFORD CAPITAL, INC.
State Registrations and Notice Filings
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Exams
Current Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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