Robert A. Yergey
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 Alan Yergey, who also goes by Bob Yergey, Robert Yergey, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1995. Robert had worked at 4 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2006 - December 31, 2013
GLOBAL BROKERAGE SERVICES, INC.
February 26, 2003 - December 31, 2004
HIMCO DISTRIBUTION SERVICES COMPANY
October 7, 1999 - October 17, 2002
USALLIANZ SECURITIES, INC.
June 7, 1995 - July 27, 1999
WOODBURY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
GLOBAL BROKERAGE SERVICES, INC.
CRD#: 37505 / SEC#: 801-131268, 8-47763
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
GLOBAL BROKERAGE SERVICES, INC.
CRD#: 37505 / SEC#: 801-131268, 8-47763
Contact information
SEC notice filing (11 States and Territories)
FINRA licenses (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 562 |
| AUM (Assets Under Management) | $ 137,300,000 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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.
