Robert C. Rungee
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 Carson Rungee was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 6 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2020 - October 11, 2022
PEOPLE'S UNITED ADVISORS, INC.
July 27, 2011 - March 31, 2020
PEOPLE'S SECURITIES, INC.
July 21, 2010 - October 11, 2022
PEOPLE'S SECURITIES, INC.
June 20, 2006 - February 11, 2009
UBS SECURITIES LLC
March 8, 2006 - May 10, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2006 - May 10, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 4, 2003 - March 8, 2006
ADVEST, INC.
August 2, 2002 - March 8, 2006
ADVEST, INC.
December 23, 1999 - January 16, 2001
VOYA FINANCIAL PARTNERS, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PEOPLE'S UNITED ADVISORS, INC.
CRD#: 292454 / SEC#: 801-112648
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,076 |
| AUM (Assets Under Management) | $ 845,211,011 |
Red Flags
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