Robert C. Allison
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 Cecil Allison JR, who also goes by Bobby Allison, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1973. Robert had worked at 6 firms and has passed the Series 63, Series 5, PC, Series 000, Series 1, Series 40, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 1992 - February 1, 1993
KIDDER, PEABODY & CO. INCORPORATED
May 1, 1990 - December 31, 1990
KIDDER, PEABODY & CO. INCORPORATED
September 14, 1988 - March 22, 1990
ALLISON, ROSENBLUM & HANNAHS, INC.
February 15, 1988 - August 31, 1988
LEHMAN BROTHERS INC.
December 9, 1981 - February 15, 1988
E. F. HUTTON & COMPANY INC
September 26, 1978 - January 14, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 3, 1973 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 5
Date: 11/5/1983
Interest Rate Options ExaminationPC
Date: 3/12/1982
AMEX Put and Call ExamSeries 000
Date: 6/27/1973
General Securities Principal ExaminationSeries 1
Date: 6/27/1973
Registered Representative ExaminationSeries 40
Date: 7/18/1978
Registered Principal ExaminationSeries 12
Date: 4/25/1978
NYSE Branch Manager ExaminationCurrent Firm
KIDDER, PEABODY & CO. INCORPORATED
CRD#: 7613 / SEC#: , 8-4831
Contact information
Documents
Red Flags
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