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Robert Fred Sistrunk

CRD# 2553431·Registered 1994 - 2005
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Fred Sistrunk was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1994 - 2005. Robert had worked at 5 firms and has passed the Series 63, Series 65, Series 3, Series 7, Series 4 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

32 years in the financial services industry

Current & Past Employments

BROKERSXPRESS LLC·CRD# 127081
BD
Chicago, IL
May 10, 2004 - August 9, 2005
OPTIONSXPRESS, INC.·CRD# 103849
BD
Chicago, IL
September 10, 2002 - June 2, 2004
AURA FINANCIAL SERVICES, INC.·CRD# 42822
BD
Birmingham, AL
March 14, 2001 - September 11, 2002
ALL-TECH DIRECT, INC.·CRD# 13992
BD
Montvale, NJ
June 25, 1996 - July 8, 1998
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
November 28, 1994 - May 24, 1996

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Current Firm

BL
BROKERSXPRESS LLC

BROKERSXPRESS LLC | BXADVISORS | BX INSURANCE SERVICES | BX ASSET MANAGEMENT

CRD#: 127081 / SEC#: 801-66123, 8-65953
BD
Terminated by SEC on 02/05/2012

Contact Information

Established

Illinois since 03/26/2003

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Latest Form ADV

Part 2 Brochures

BROKERSXPRESS DISCLOSURE BROCHURE (5/25/2012)

Direct owners and executive officers

NamePositionCRD#
BROKERSXPRESS ILLINOIS, INC.MANAGING MEMBER—
KONOP, LYNN MARIECHIEF COMPLIANCE OFFICER1216310
METZGER, BARRY SCOTTCEO4719211
WETZEL, RONALD LEEFINANCIAL & OPERATIONS PRINCIPAL (FINOP)4671726

Disclosures

Regulatory Event

6

Bond

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2001About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 1995About the Series 65 exam

Series 3 — National Commodity Futures Examination

Passed Dec 1994About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Nov 1994About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Jun 2001About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Jun 2001About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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