Robert B. Buschbaum
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 Bruce Buschbaum was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 3 firms and has passed the Series 63 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
February 11, 2000 - June 27, 2000
GRADY AND HATCH & COMPANY, INC.
June 23, 1997 - November 21, 1997
GRADY AND HATCH & COMPANY, INC.
January 2, 1992 - October 17, 1995
GRADY AND HATCH & COMPANY, INC.
February 21, 1990 - May 8, 1990
GKN SECURITIES CORP.
October 5, 1989 - March 21, 1990
INTERCOASTAL CAPITAL MARKETS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GRADY AND HATCH & COMPANY, INC.
CRD#: 14262 / SEC#: , 8-30204
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 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.
