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RM

Robert D. Ming

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CRD#: 3057041
RM

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 Douglas Ming was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1998. Robert had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 12, 2005 - October 14, 2010

JEFFERIES EXECUTION SERVICES, INC.

BD
CRD#: 867
NEW YORK, NY
Past

May 31, 2001 - April 21, 2015

JEFFERIES LLC

BD
CRD#: 2347
LOS ANGELES, CA
Past

June 22, 1998 - September 5, 2000

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/9/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/21/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/17/1998
General Securities Representative Examination

Current Firm

JE
JEFFERIES EXECUTION SERVICES, INC.
HELFANT GROUP, INC. | WAGENSELLER & DURST, INC. | W & D SECURITIES, INC. | JEFFERIES EXECUTION SERVICES, INC.

CRD#: 867 / SEC#: , 8-2671

BD
Terminated by SEC on 01/19/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 10/31/1947
Firm type
Corporation
Fiscal year end
November
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JEFFERIES GROUP LLCSOLE MEMBER
GALVIN, KEVINCHIEF FINANCIAL OFFICER2215587
NOONAN, JOHN JOSEPHCHIEF EXECUTIVE OFFICER, PRESIDENT, DIRECTOR2757973
SMITH, TIMOTHY ARMSTRONGCHIEF COMPLIANCE OFFICER3059742

Disclosures

Regulatory Event19

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.

Company Information

JEFFERIES EXECUTION SERVICES, INC.

CRD#: 867

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