Robert Bales
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 Bales, who also goes by Bob Bales, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 5 firms and has passed the Series 63 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
September 8, 2000 - December 14, 2000
REGIS SECURITIES CORPORATION
October 6, 1999 - August 15, 2000
CAPITAL SECURITIES OF AMERICA, INC.
May 6, 1998 - October 14, 1999
MPI FINANCIAL
March 27, 1998 - April 20, 1998
MPI FINANCIAL
January 2, 1997 - April 1, 1998
QUANTUM CAPITAL CORPORATION
July 19, 1996 - January 27, 1997
THE HAMILTON-SHEA GROUP, INC.
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
REGIS SECURITIES CORPORATION
CRD#: 103711 / SEC#: , 8-52200
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARGIN, ROBERT KENNETH | PRESIDENT, CEO, CROP | 1825995 |
| VARGO, NANCY ARNETT | CFO, CCO |
Disclosures
| Regulatory Event | 1 |
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.
