Robert A. Mize
Professional summary
Robert Alan Mize is a registered financial professional currently at CFD INVESTMENTS, INC. located in Avon, Indiana.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1998. Robert has 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) - BD
Click below to view Robert Alan Mize's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 1, 2006 - Present
CFD INVESTMENTS, INC.
December 20, 2001 - November 7, 2006
INTERVEST INTERNATIONAL EQUITIES CORPORATION
August 23, 2000 - December 20, 2001
RICHARD B. VANCE & COMPANY
January 7, 1998 - September 6, 2000
PRINCIPAL SECURITIES, 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
(10/30/2013)
(11/26/2012)
(11/1/2006)
(3/7/2016)
(8/12/2024)
Exams
FINRA
Current Firm
CFD INVESTMENTS, INC.
CRD#: 25427 / SEC#: , 8-41727
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
| Regulatory Event | 8 |
| Bond | 1 |
Red Flags
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