Rory V. Robinson
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.
Rory Vincent Robinson was a registered financial professional .
Rory is a previously registered financial professional and started their career in finance in 1999. Rory had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2009 - May 19, 2016
TD AMERITRADE, INC.
August 21, 2009 - May 19, 2016
TD AMERITRADE, INC.
April 28, 2008 - July 7, 2009
CHARLES SCHWAB & CO., INC.
April 30, 2002 - December 31, 2005
CHARLES SCHWAB & CO., INC.
September 24, 2001 - July 7, 2009
CHARLES SCHWAB & CO., INC.
May 17, 2001 - August 2, 2001
WESTPARK CAPITAL, INC.
November 17, 2000 - May 2, 2001
GOLDMAN SACHS & CO. LLC
September 20, 1999 - October 23, 2000
CHARLES SCHWAB & CO., INC.
January 21, 1999 - May 12, 1999
GLOBAL CAPITAL SECURITIES CORPORATION
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 83 |
| Civil Event | 1 |
| Arbitration | 144 |
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.
