Robert W. Svendsen
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 William Svendsen III, who also goes by Robert W Svendsen III, Robert Svendson, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2000. Robert had worked at 4 firms and has passed the Series 63, Series 66, SIE, Series 22, Series 31, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2015 - December 12, 2017
RCX CAPITAL GROUP, LLC
May 27, 2005 - March 1, 2012
LPL FINANCIAL LLC
May 27, 2005 - March 1, 2012
LPL FINANCIAL LLC
August 8, 2001 - June 17, 2005
UBS FINANCIAL SERVICES INC.
April 24, 2001 - June 17, 2005
UBS FINANCIAL SERVICES INC.
June 28, 2000 - March 30, 2001
PEREGRINE FINANCIALS & SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RCX CAPITAL GROUP, LLC
CRD#: 114290 / SEC#: , 8-53416
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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