Robert H. Thein
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 Hla Thein was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 7 firms and has passed the Series 63, SIE 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
February 18, 2004 - June 29, 2017
INTEGRAL FINANCIAL LLC
March 10, 2003 - December 5, 2003
AMERITAS INVESTMENT COMPANY, LLC
October 29, 1998 - December 31, 2002
UNITED SECURITIES ALLIANCE, INC.
July 2, 1997 - November 9, 1998
VOYA FINANCIAL ADVISORS, INC.
March 13, 1997 - July 8, 1997
WALL STREET FINANCIAL GROUP, INC.
January 1, 1997 - March 7, 1997
CENTAURUS FINANCIAL, INC.
January 25, 1996 - November 25, 1996
WMA SECURITIES, 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
INTEGRAL FINANCIAL LLC
CRD#: 120343 / SEC#: , 8-65284
Contact information
FINRA licenses (5 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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