Robert E. Mrozek
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 Edward Mrozek was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 11 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2002 - April 28, 2003
PAN-AMERICAN FINANCIAL ADVISERS
October 1, 1999 - February 2, 2000
WELLS FARGO CLEARING SERVICES, LLC
January 24, 1990 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
June 5, 1989 - January 3, 1990
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
April 30, 1976 - March 2, 1989
ROBERT FLEMING INC.
April 28, 1976 - May 12, 1976
MOSELEY, HALLGARTEN & ESTABROOK INC
April 26, 1974 - April 28, 1976
MOSELEY, HALLGARTEN & ESTABROOK INC.
September 20, 1973 - April 26, 1974
F. S. MOSELEY, ESTABROOK INC.
August 6, 1973 - September 17, 1973
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 21, 1972 - August 27, 1973
F S SMITHERS & CO INC
September 11, 1970 - March 20, 1975
DEAN WITTER & CO. 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: 2/11/1966
Registered Representative ExaminationCurrent Firm
PAN-AMERICAN FINANCIAL ADVISERS
CRD#: 15578 / SEC#: , 8-32639
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAN-AMERICAN LIFE INSURANCE COMPANY | SHAREHOLDER | |
| LAGRONE, DANIEL EVERETT | GENERAL COUNSEL, SECRETARY OF CORPORATION, CHIEF COMPLIANCE OFFICER | 2789525 |
| LEGNON, JR., EDWIN K | FINOP, TREASUER, DIRECTOR | 4092877 |
| MCGUNAGLE, GEORGE FRANCIS | CHAIRMAN OF THE BOARD | 3233721 |
| SCHORR, RACHAEL DELLACCIO | PRESIDENT, CROP, SROP, DIRECTOR | 2128016 |
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.
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