Robert J. Magnuson
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 John Magnuson was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1979. Robert had worked at 4 firms and has passed the Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2010 - February 2, 2012
EK RILEY INVESTMENTS, LLC
March 7, 1997 - November 1, 2006
D.A. DAVIDSON & CO.
May 20, 1981 - March 7, 1997
PIPER SANDLER & CO.
August 31, 1979 - May 15, 1981
DAIN RAUSCHER INCORPORATED
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: 6/19/1968
Registered Representative ExaminationSeries 40
Date: 2/15/1978
Registered Principal ExaminationSeries 12
Date: 8/1/1977
NYSE Branch Manager ExaminationCurrent Firm
EK RILEY INVESTMENTS, LLC
CRD#: 121003 / SEC#: 801-78547, 8-65369
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EK RILEY & CO., INC. | MEMBER | |
| LOUCH, AARON DAVID | CCO / CHIEF FINANCIAL OFFICER | 2662983 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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