Robert L. Cacy
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 Lee Cacy, who also goes by Bob Cacy, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1971. Robert had worked at 8 firms and has passed the Series 66, SIE 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 30, 2009 - March 1, 2018
VALMARK SECURITIES, INC.
March 7, 2001 - December 2, 2008
PRUCO SECURITIES, LLC.
February 21, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 21, 1991 - December 2, 2008
PRUCO SECURITIES, LLC.
February 15, 1989 - February 7, 1991
VP DISTRIBUTORS LLC
December 20, 1984 - July 29, 1985
E. F. HUTTON & COMPANY INC
August 18, 1977 - December 19, 1988
NEW ENGLAND SECURITIES
March 4, 1971 - October 6, 1977
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 4, 1971 - October 6, 1977
OSAIC FA, 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 1
Date: 3/1/1971
Registered Representative ExaminationCurrent Firm
VALMARK SECURITIES, INC.
CRD#: 31243 / SEC#: , 8-45463
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
