Robert M. Mccloskey
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 Michael Mccloskey, who also goes by Mike Mccloskey, Robert Mccloskey, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 4 firms and has passed the Series 65, Series 63, SIE 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
November 13, 2000 - January 2, 2018
1ST GLOBAL ADVISORS INC
October 23, 2000 - December 31, 2017
1ST GLOBAL CAPITAL CORP.
March 2, 1998 - October 27, 2000
RBC CAPITAL MARKETS, LLC
February 8, 1996 - March 2, 1998
DAIN RAUSCHER INCORPORATED
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
1ST GLOBAL ADVISORS INC
CRD#: 111133 / SEC#: 801-41517
Contact information
Documents
Part 2 Brochures
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.
