Robert J. Stearns
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 Jerry Stearns was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 6 firms and has passed the Series 66, Series 65, Series 63 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
August 5, 2013 - February 26, 2014
PURSHE KAPLAN STERLING INVESTMENTS
June 1, 2009 - April 14, 2010
MORGAN STANLEY
June 1, 2009 - April 14, 2010
MORGAN STANLEY
March 22, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 22, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 4, 2006 - March 15, 2007
EQUITABLE ADVISORS, LLC
July 7, 2005 - October 20, 2005
BOSTON MERCHANT FINANCIAL SERVICES, INC.
January 19, 1996 - October 16, 2003
MORGAN STANLEY DW INC.
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
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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