Robert S. Semple
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 Stewart Semple was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 11 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2018 - December 14, 2018
SEMPLE CAPITAL & RISK MANAGEMENT
January 23, 2017 - December 31, 2017
SEMPLE CAPITAL & RISK MANAGEMENT
February 10, 2016 - December 31, 2016
SEMPLE CAPITAL & RISK MANAGEMENT
May 19, 2008 - December 31, 2015
SEMPLE CAPITAL & RISK MANAGEMENT
June 20, 2002 - December 13, 2005
OAK TREE SECURITIES, INC.
January 10, 1991 - November 6, 2007
OAK TREE SECURITIES, INC.
April 20, 1989 - December 31, 1990
E.F. DALY FINANCIAL GROUP
September 1, 1988 - March 31, 1989
KAVANAUGH SECURITIES, INC.
December 24, 1987 - September 15, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
September 20, 1984 - December 24, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
June 4, 1980 - September 17, 1984
BMI FINANCIAL GROUP
February 9, 1979 - July 6, 1980
COASTAL ASSET MANAGEMENT CORPORATION
February 1, 1977 - March 22, 1979
APEX FINANCIAL PLANNERS CORP.
May 5, 1975 - May 30, 1976
KNIGHTSBRIDE SECURITIES INC
July 1, 1969 - August 5, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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: 6/27/1969
Registered Representative ExaminationF04
Date: 12/5/1974
Financial Principal ExaminationSeries 00
Date: 11/21/1974
General Securities Principal ExaminationCurrent Firm
SEMPLE CAPITAL & RISK MANAGEMENT
CRD#: 145440 / SEC#:
Contact information
Red Flags
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