Robert J. Strain
Professional summary
Robert James Strain II was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Robert had worked at 5 firms, which includes VOYA INVESTMENTS DISTRIBUTOR LLC, ROUND HILL SECURITIES INC., BANC OF AMERICA INVESTMENT SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, A. G. EDWARDS & SONS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 1999 - November 1, 1999
VOYA INVESTMENTS DISTRIBUTOR, LLC
March 31, 1999 - July 9, 1999
ROUND HILL SECURITIES, INC.
December 7, 1998 - April 12, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 15, 1997 - June 5, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 15, 1996 - April 30, 1997
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
VOYA INVESTMENTS DISTRIBUTOR, LLC
CRD#: 37886 / SEC#: , 8-48020
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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