Robert Ross
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 Ross, who also goes by Rosco Ross, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2004. Robert had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2020 - December 23, 2024
APPLIED INVESTMENT STRATEGIES, LLC
February 28, 2018 - December 31, 2019
APPLIED INVESTMENT STRATEGIES, LLC
August 3, 2016 - December 16, 2016
SOURCE CAPITAL GROUP, INC.
September 11, 2009 - August 1, 2014
NATWEST MARKETS SECURITIES INC.
July 23, 2007 - September 11, 2009
ABN AMRO INCORPORATED
February 10, 2004 - January 5, 2007
HMC INVESTMENTS, LLC
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
APPLIED INVESTMENT STRATEGIES, LLC
CRD#: 290280 / SEC#: 802-132270
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Active | 2/25/2025 |
Red Flags
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