Robert W. Rister
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 Wesley Rister, who also goes by Rob Wesley Rister, Robert W Rister, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2000. Robert had worked at 3 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2006 - April 3, 2007
AFS BROKERAGE, INC.
July 17, 2003 - November 18, 2005
AFS BROKERAGE, INC.
May 7, 2001 - September 30, 2002
CENTAURUS FINANCIAL, INC.
April 25, 2000 - March 6, 2001
ALLSTATE FINANCIAL SERVICES, 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
Current Firm
AFS BROKERAGE, INC.
CRD#: 25924 / SEC#: , 8-42170
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AFS HOLDINGS CORP. | DIRECT OWNER | |
| HURWITZ, DONALD CLIFFORD | PRESIDENT, CEO | 2934017 |
| KOCZERA, LYNN COLTON | CHIEF FINANCIAL OFFICER; FIN OP | 1065105 |
| LAYNE, CYNTHIA ANNE | MUNICIPALS PRINCIPAL | 1441222 |
| LAYNE, CYNTHIA ANNE | SROP | 1441222 |
| LAYNE, CYNTHIA ANNE | MANAGER OF OPERATIONS/SUPERVISOR | 1441222 |
| SHADE, KENNETH EUGENE | CROP | 3259826 |
| SHADE, KENNETH EUGENE | EXECUTIVE VICE PRESIDENT | 3259826 |
| SHADE, KENNETH EUGENE | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | 3259826 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
