Robert S. Hall
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 Steven Hall, who also goes by Rob Hall, 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 65, Series 63, Series 7TO, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2019 - December 31, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 8, 2016 - January 25, 2017
NYLIFE SECURITIES LLC
May 30, 2013 - September 8, 2014
NEXT FINANCIAL GROUP, INC.
May 28, 2013 - September 8, 2014
NEXT FINANCIAL GROUP, INC.
June 1, 2009 - December 17, 2012
MORGAN STANLEY
June 1, 2009 - December 17, 2012
MORGAN STANLEY
January 29, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 27, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 15, 2003 - June 14, 2006
TD AMERITRADE, INC.
October 20, 1997 - June 14, 2006
TD AMERITRADE, INC.
June 27, 1996 - October 1, 1996
ARGENT SECURITIES, INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
