Robert E. Bragg
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 Earl Bragg, who also goes by Bob Bragg, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 8 firms and has passed the Series 63, SIE, PC, Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2007 - December 25, 2020
FIRST CANTERBURY SECURITIES, INC.
January 2, 2001 - December 20, 2006
CULLUM & BURKS SECURITIES, INC.
February 24, 1993 - December 31, 2000
MOMENTUM INDEPENDENT NETWORK INC.
January 4, 1991 - March 11, 1993
HARRIS SECURITIES, INC.
August 25, 1989 - January 4, 1991
PRUDENTIAL EQUITY GROUP, LLC
February 12, 1985 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
July 22, 1971 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
May 25, 1970 - June 20, 1971
A. G. EDWARDS & SONS, 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
PC
Date: 6/4/1987
AMEX Put and Call ExamSeries 5
Date: 10/6/1981
Interest Rate Options ExaminationSeries 1
Date: 5/9/1970
Registered Representative ExaminationCurrent Firm
FIRST CANTERBURY SECURITIES, INC.
CRD#: 13121 / SEC#: , 8-29446
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JENNISON, RAYMOND ELLIS JR | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | 867502 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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