Robert M. Broggi
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 Mcgovern Broggi was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1995. Robert had worked at 5 firms and has passed the Series 65, Series 63, Series 34, Series 31 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
January 2, 2018 - May 18, 2020
FOX CAPITAL MANAGEMENT LLC
May 5, 1999 - January 29, 2002
MORGAN STANLEY & CO. LLC
July 1, 1998 - April 28, 1999
COWEN AND COMPANY
October 24, 1995 - July 1, 1998
FINANCIAL SQUARE PARTNERS
April 20, 1995 - October 3, 1995
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FOX CAPITAL MANAGEMENT LLC
CRD#: 289914 / SEC#:
Contact information
Red Flags
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