Robert W. Plenge
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 William Plenge was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1967. Robert had worked at 9 firms and has passed the Series 63, SIE, Series 1, F04, Series 4 and Series 00 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, 2009 - August 7, 2015
FOOTHILL SECURITIES, INC.
June 1, 1998 - August 3, 2009
CUE FINANCIAL GROUP, INC.
August 23, 1977 - June 1, 1998
PLENGE, THOMAS & GUNNING SECURITIES, INC.
February 3, 1977 - December 4, 1977
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
June 12, 1973 - February 27, 1976
BACHE & CO., INCORPORATED
May 14, 1973 - August 9, 1973
CITIGROUP GLOBAL MARKETS INC.
September 11, 1967 - April 30, 1973
DUPONT GLORE FORGAN INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 7/3/1961
Registered Representative ExaminationF04
Date: 7/23/1977
Financial Principal ExaminationSeries 00
Date: 9/2/1967
General Securities Principal ExaminationCurrent Firm
FOOTHILL SECURITIES, INC.
CRD#: 1027 / SEC#: 801-57293, 8-11117
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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