Robert G. Pierce
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 George Pierce 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 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
November 28, 2006 - April 8, 2020
WORLD CAPITAL BROKERAGE, INC.
December 4, 2003 - November 30, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 7, 1999 - December 8, 2003
INVESTORS CAPITAL CORP.
December 19, 1996 - June 28, 1999
WMA SECURITIES, INC.
July 18, 1996 - December 20, 1996
TRANSAMERICA FINANCIAL ADVISORS, 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
WORLD CAPITAL BROKERAGE, INC.
CRD#: 37 / SEC#: , 8-6805
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 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.
