Toni L. Robertson
Professional summary
Toni Leynett Robertson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Toni is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Toni had worked at 3 firms, which includes CAPROCK SECURITIES INC., INVESTMENT PROFESSIONALS INC., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2006 - July 22, 2015
CAPROCK SECURITIES, INC.
September 23, 2005 - July 18, 2006
INVESTMENT PROFESSIONALS, INC.
July 18, 2005 - July 18, 2006
INVESTMENT PROFESSIONALS, INC.
November 25, 2002 - July 19, 2005
MORGAN STANLEY DW INC.
April 18, 2000 - July 19, 2005
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
CAPROCK SECURITIES, INC.
CRD#: 8014 / SEC#: , 8-24444
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
| Judgment/Lien | 1 |
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