Robert M. Kock
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 Marshall Kock was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 7 firms and has passed the Series 63, Series 1, Series 53, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2001 - November 16, 2015
INVESTORS CAPITAL MANAGEMENT INC
April 15, 1997 - November 10, 1997
INTERCAPITAL SECURITIES, INC.
October 18, 1993 - October 1, 1996
MORGAN KEEGAN & COMPANY, LLC
January 23, 1991 - December 20, 1991
RMK INTERNATIONAL SECURITIES, INC.
March 12, 1980 - February 20, 1988
CITIGROUP GLOBAL MARKETS INC.
February 21, 1973 - January 3, 1975
GOLDMAN SACHS INTERNATIONAL CORP.
August 1, 1969 - February 14, 1980
GOLDMAN SACHS & CO. 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
Series 1
Date: 7/25/1969
Registered Representative ExaminationSeries 40
Date: 8/21/1978
Registered Principal ExaminationCurrent Firm
INVESTORS CAPITAL MANAGEMENT INC
CRD#: 110823 / SEC#: 801-40164
Contact information
Regulatory assets under management
| Total Number of Accounts | 120 |
| AUM (Assets Under Management) | $ 67,717,964 |
Red Flags
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