Robert C. Bess
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 Carl Bess, who also goes by Robert Bess, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2011 - December 18, 2017
FORESTERS EQUITY SERVICES, INC.
July 8, 2011 - December 18, 2017
FORESTERS EQUITY SERVICES, INC.
November 27, 2009 - November 30, 2010
OSAIC SERVICES, INC.
October 6, 2009 - November 30, 2009
WFG ADVISORS, LP
October 6, 2009 - November 30, 2009
WFG INVESTMENTS, INC.
May 12, 2004 - October 8, 2009
WESTPARK WEALTH ADVISORS, INC.
February 10, 2004 - December 31, 2004
IMS SECURITIES, INC.
February 10, 2004 - October 8, 2009
IMS SECURITIES, INC.
January 17, 2003 - January 8, 2004
PARK AVENUE SECURITIES LLC
January 7, 2003 - January 8, 2004
PARK AVENUE SECURITIES LLC
November 30, 2001 - December 31, 2002
PARK AVENUE SECURITIES LLC
November 30, 2001 - December 31, 2002
PARK AVENUE SECURITIES LLC
November 13, 2000 - October 11, 2001
VERAVEST INVESTMENTS, INC.
September 1, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 1, 1999 - October 16, 2000
EQUITABLE ADVISORS, 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
Current Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
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.
