Robert L. Schraudt
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 Schraudt was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 4 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 1982 - November 16, 1982
MARINER FINANCIAL SERVICES, INC.
August 19, 1977 - April 21, 1982
WORLD CAPITAL BROKERAGE, INC.
October 6, 1975 - July 4, 1976
CORNERSTONE FINANCIAL SERVICES, INC.
May 19, 1970 - November 4, 1975
MULTI-VEST SECURITIES 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: 5/15/1969
Registered Representative ExaminationCurrent Firm
MARINER FINANCIAL SERVICES, INC.
CRD#: 8292 / SEC#: , 8-25216
Contact information
Documents
Red Flags
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