Robert J. Mison
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 Mison was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1968. Robert had worked at 8 firms and has passed the Series 63, PC, Series 1, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2000 - November 15, 2002
LEHMAN BROTHERS INC.
July 1, 1998 - October 30, 2000
COWEN AND COMPANY
May 7, 1991 - July 1, 1998
FINANCIAL SQUARE PARTNERS
September 4, 1987 - May 17, 1991
HAMILTON INVESTMENTS, INC.
November 20, 1984 - August 25, 1987
SANCTUARY SECURITIES, INC.
August 21, 1981 - November 26, 1984
THE MILWAUKEE COMPANY
August 14, 1973 - September 3, 1981
CITIGROUP GLOBAL MARKETS INC.
August 13, 1968 - September 6, 1973
F I DUPONT GLORE FORGAN & CO
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
PC
Date: 7/23/1977
AMEX Put and Call ExamSeries 1
Date: 8/9/1968
Registered Representative ExaminationSeries 8
Date: 7/8/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LEHMAN BROTHERS INC.
CRD#: 7506 / SEC#: , 8-12324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEHMAN BROTHERS HOLDINGS INC. | SOLE SHAREHOLDER | |
| CLARK, HOWARD LONGSTRETH JR | DIRECTOR | 47587 |
| CRUIKSHANK, THOMAS HENRY | DIRECTOR | 4708135 |
| FREIDHEIM, SCOTT JON | CO-CHIEF ADMINISTRATIVE OFFICER | 1766230 |
| FULD, RICHARD SEVERIN JR | DIRECTOR/CHAIRMAN AND CEO | 215527 |
| LOWITT, IAN THEO | CO-CHIEF ADMINISTRATIVE OFFICER | 4210205 |
| MCDADE III, HERBERT H. | PRESIDENT AND CHIEF OPERATING OFFICER | 1185218 |
| RUSSO, THOMAS ANTHONY | CHIEF LEGAL OFFICER | 3188169 |
Disclosures
| Regulatory Event | 359 |
| Civil Event | 1 |
| Arbitration | 527 |
Red Flags
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