Robert A. Lacey
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 Anthony Lacey, who also goes by Bob Lacey, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1966. Robert had worked at 10 firms and has passed the Series 63, Series 5, PC, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 1996 - April 3, 1997
FIDELITY NATIONAL CAPITAL INVESTORS, INC.
March 7, 1995 - May 28, 1996
KEOGLER, MORGAN & COMPANY, INC.
October 19, 1992 - April 30, 1993
J.P. MORGAN SECURITIES LLC
May 21, 1990 - September 30, 1992
ALEX. BROWN & SONS INCORPORATED
December 22, 1987 - May 21, 1990
CITIGROUP GLOBAL MARKETS INC.
September 17, 1979 - February 11, 1988
LEHMAN BROTHERS INC.
January 18, 1978 - September 17, 1979
LOEB PARTNERS
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
August 16, 1976 - January 4, 1977
LOEB, RHOADES & CO. INC.
November 7, 1966 - August 31, 1976
E. F. HUTTON & COMPANY 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
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 9/14/1979
AMEX Put and Call ExamSeries 1
Date: 10/31/1966
Registered Representative ExaminationSeries 40
Date: 6/3/1977
Registered Principal ExaminationSeries 12
Date: 5/21/1969
NYSE Branch Manager ExaminationCurrent Firm
FIDELITY NATIONAL CAPITAL INVESTORS, INC.
CRD#: 30626 / SEC#: , 8-45065
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY NATIONAL CORP. | PARENT COMPANY | |
| BOAL, CHETAN | PRESIDENT, DIRECTOR, MUNICIPAL SECURITIES PRINCIPAL,, SROP, CROP | 2264605 |
| DENNEY, SHARON R | DIRECTOR | 2865840 |
| FRANCIS, NOEL A | FINANCIAL OPERATIONS PRINCIPAL, SECRETARY-TREASURER | 4412530 |
| HERMAN, CONRAD LOUIS | VP, COMPLIANCE OFFICER | 2255431 |
| JAMES, AMELIA ANN | DIRECTOR | 2267509 |
| MILLER, JAMES BENNETT JR | CHAIRMAN | 2267505 |
| RUSSELL, JEFFERSON BARRON | DIRECTOR | |
| SHEPHERD, W CLYDE III | DIRECTOR | 2294290 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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