Robert M. Locke
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 Mercer Locke JR was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 9 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 1984 - February 2, 1984
HERETH, ORR & JONES, INC.
March 16, 1981 - December 22, 1981
FSC SECURITIES CORPORATION
January 24, 1979 - March 3, 1979
ILG SECURITIES CORPORATION
January 21, 1979 - August 8, 1980
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
October 12, 1978 - January 2, 1979
WZW FINANCIAL SERVICES, INC.
July 14, 1976 - October 28, 1978
ILG SECURITIES CORPORATION
March 6, 1975 - July 14, 1976
EDGEMONT SECURITIES CORPORATION
January 29, 1973 - July 28, 1973
PW SECURITIES, INC.
June 21, 1971 - September 16, 1972
MULTIVEST SECURITIES INC
August 11, 1970 - May 16, 1971
ALEXANDER HAMILTON FINANCIAL 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 1
Date: 8/6/1970
Registered Representative ExaminationCurrent Firm
HERETH, ORR & JONES, INC.
CRD#: 7210 / SEC#: , 8-19296
Contact information
Documents
Red Flags
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