Robert C. Matlock
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 Cutter Matlock JR, who also goes by Bob Matlock, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 4 firms and has passed the Series 63, Series 3, Series 000, Series 1, Series 8 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
May 16, 2003 - March 21, 2012
STERNE, AGEE & LEACH, INC.
March 2, 1987 - May 12, 2003
ADVEST, INC.
February 16, 1977 - March 6, 1987
FIFTH THIRD SECURITIES, INC.
May 13, 1970 - March 13, 1977
J.J.B. HILLIARD, W.L. LYONS, LLC
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 000
Date: 8/24/1965
General Securities Principal ExaminationSeries 1
Date: 8/24/1965
Registered Representative ExaminationSeries 8
Date: 9/15/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 4/14/1984
NYSE Branch Manager ExaminationCurrent Firm
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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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