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Robert Alan Skaggs

CRD# 3139090·Registered 1998 - 2013
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Alan Skaggs, who also goes by Bob Skaggs, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1998 - 2013. Robert had worked at 5 firms and has passed the Series 63 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Bob Skaggs

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

28 years in the financial services industry

Current & Past Employments

BROKER DEALER FINANCIAL SERVICES CORP.·CRD# 8073
BD
Murrieta, CA
January 6, 2010 - December 31, 2013
INSPHERE SECURITIES, INC.·CRD# 136433
BD
Murrieta, CA
January 12, 2009 - December 31, 2009
1ST DISCOUNT BROKERAGE, INC.·CRD# 39164
BD
Corona, CA
August 21, 2002 - December 31, 2008
ACUMENT SECURITIES, INC.·CRD# 7661
BD
San Francisco, CA
October 1, 1999 - August 21, 2002
EQUITY SERVICES, INC.·CRD# 265
BD
Montpelier, VT
November 9, 1998 - September 28, 1999

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Current Firm

BD
BROKER DEALER FINANCIAL SERVICES CORP.

BANKERS FINANCIAL SERVICES CORP. | INVESTCENTRAL | D. K. THIELEKE SECURITIES, INC. | BROKER DEALER FINANCIAL SERVICES CORP. | BROKER DEALER FINANCIAL & INSURANCE SERVICES CORP. | BDF INVESTMENTS AND IBA SECURITIES

CRD#: 8073 / SEC#: 8-24220
BD
Terminated by SEC on 02/07/2019

Contact Information

Established

Iowa since 09/14/1979

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BDFSC HOLDINGS CORP.OWNER—
SHERWOOD, ROBERT DONALDCFO/TREASURER6699856
SHERZAN, MICHAEL THOMASCHAIRMAN / CHIEF COMPLIANCE OFFICER860793

Disclosures

Regulatory Event

4

Arbitration

2

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1999About the Series 63 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Nov 1998About the Series 6 exam

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CRS (Client Relationship Summary)

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

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