Robert E. Karoly
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 Eric Karoly was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1968. Robert had worked at 16 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 1993 - July 12, 1993
STUART, COLEMAN & CO., INC.
May 20, 1988 - December 6, 1991
JW GENESIS CLEARING CORP.
November 10, 1986 - May 11, 1988
KIDDER, PEABODY & CO. INCORPORATED
December 2, 1985 - October 18, 1986
E. F. HUTTON & COMPANY INC
March 8, 1984 - September 19, 1985
MORGAN STANLEY DW INC.
September 10, 1982 - December 21, 1983
BEVILL, BRESLER & SCHULMAN INCORPORATED
November 16, 1981 - March 23, 1982
JW GENESIS CLEARING CORP.
October 17, 1980 - January 11, 1982
BARRY MURPHY & COMPANY, INC.
September 4, 1979 - May 15, 1980
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
February 2, 1979 - August 9, 1979
G.C.N. CORP.
January 23, 1978 - August 13, 1980
BALOGH SECURITIES, INC.
April 26, 1977 - December 23, 1977
COMSTOCK INVESTMENTS, INC.
February 16, 1977 - July 18, 1977
R. G. WILSON SECURITIES, INC.
March 25, 1975 - February 12, 1976
FIRST FLORIDA SECURITIES, INC.
May 25, 1972 - April 27, 1975
CANDO FUND INC
February 5, 1971 - June 1, 1972
USLIFE EQUITY SALES CORP
October 17, 1968 - February 18, 1971
EQUITY SECURITIES 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
PC
Date: 3/25/1985
AMEX Put and Call ExamSeries 1
Date: 6/15/1968
Registered Representative ExaminationCurrent Firm
STUART, COLEMAN & CO., INC.
CRD#: 8642 / SEC#: , 8-25824
Contact information
Documents
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.
