Robert A. Early
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 Ashley Early, who also goes by Ashley Early, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1998. Robert had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2011 - March 30, 2012
POLARIS INVESTMENT PARTNERS, INC
April 30, 2007 - March 25, 2009
UBS FINANCIAL SERVICES INC.
April 27, 2007 - March 25, 2009
UBS FINANCIAL SERVICES INC.
May 19, 2003 - May 11, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 20, 2003 - May 11, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 15, 1998 - February 28, 2001
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
Current Firm
POLARIS INVESTMENT PARTNERS, INC
CRD#: 106711 / SEC#: 801-38199
Contact information
Regulatory assets under management
| Total Number of Accounts | 41 |
| AUM (Assets Under Management) | $ 15,744,130 |
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.
