Robert C. Schnall
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 Charles Schnall was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1968. Robert had worked at 7 firms and has passed the Series 63, 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
October 28, 2014 - August 21, 2017
NOVEM GROUP
August 18, 2014 - August 1, 2017
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
May 2, 2011 - August 20, 2014
LPL FINANCIAL LLC
January 4, 2007 - May 5, 2011
ENSEMBLE FINANCIAL SERVICES, INC.
December 16, 2005 - May 5, 2011
ENSEMBLE FINANCIAL SERVICES, INC.
September 27, 1994 - December 20, 2005
NEW ENGLAND SECURITIES
September 3, 1971 - August 10, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
December 4, 1968 - August 10, 1994
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
NOVEM GROUP
CRD#: 158964 / SEC#: 801-72741
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: 11/26/1968
Registered Representative ExaminationCurrent Firm
NOVEM GROUP
CRD#: 158964 / SEC#: 801-72741
Contact information
SEC notice filing (32 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 1,413,641,568 |
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.
