Robert J. Werner
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 James Werner was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 12 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2019 - December 14, 2020
MUTUAL SECURITIES, INC.
August 13, 2013 - September 4, 2015
ANFIELD ADVISORS, LLC
March 15, 2013 - September 3, 2013
ANFIELD CAPITAL MANAGEMENT, LLC
April 10, 2012 - March 28, 2013
ANFIELD CAPITAL MANAGEMENT LIMITED LIABILITY COMPANY
August 8, 2011 - April 11, 2012
SECURIAN FINANCIAL SERVICES, INC.
August 5, 2011 - April 11, 2012
SECURIAN FINANCIAL SERVICES, INC.
June 14, 2007 - July 29, 2011
WERNER FINANCIAL, INC.
December 1, 2006 - June 29, 2011
WAVELAND CAPITAL PARTNERS LLC
January 24, 2005 - February 14, 2006
WAVELAND CAPITAL PARTNERS LLC
January 1, 2005 - March 31, 2006
WEALTHGUARD ADVISORY SERVICES LLC
August 19, 2004 - January 5, 2005
FIRST REPUBLIC WEALTH ADVISORS, LLC
December 15, 2003 - November 22, 2004
FIRST REPUBLIC SECURITIES COMPANY, LLC
December 9, 1994 - April 6, 1999
MERCER ALLIED COMPANY, L.P.
August 4, 1994 - December 9, 1994
MERCER ALLIED CORPORATION
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 6TO
Date: 7/31/2019
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
Red Flags
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