Harold P. Robb
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.
Harold Paul Robb was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1969. Harold had worked at 7 firms and has passed the Series 63, Series 1 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
October 9, 1996 - February 5, 2002
TYM SECURITIES, INC.
March 28, 1996 - July 24, 1996
HARRIS SECURITIES, INC.
November 7, 1994 - February 28, 1996
MILKIE/FERGUSON INVESTMENTS, INC.
December 3, 1985 - October 12, 1994
HARRIS SECURITIES, INC.
September 12, 1984 - December 2, 1985
HILLTOP SECURITIES INC.
October 15, 1974 - September 14, 1984
INSTITUTIONAL EQUITY CORPORATION
December 12, 1973 - November 15, 1974
LENTZ, NEWTON & CO.
February 4, 1969 - July 1, 1974
BROWN ALLEN & COMPANY
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: 2/13/1968
Registered Representative ExaminationSeries 00
Date: 3/20/1969
General Securities Principal ExaminationCurrent Firm
TYM SECURITIES, INC.
CRD#: 40748 / SEC#: , 8-49181
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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.
