Robert C. Ringstad
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 Cornelius Ringstad was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 1 firm and has passed the Series 65, Series 1, Series 4 and Series 00 exams.
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 1970 - January 28, 1989
SMILEN INVESTMENT RESEARCH AND MANAGEMENT INCORPORATED
State Registrations and Notice Filings
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Exams
Series 1
Date: 8/14/1957
Registered Representative ExaminationSeries 00
Date: 4/1/1971
General Securities Principal ExaminationCurrent Firm
SMILEN INVESTMENT RESEARCH AND MANAGEMENT INCORPORATED
CRD#: 5385 / SEC#: , 8-16089
Contact information
Documents
Red Flags
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