Robert A. Shive
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 Alan Shive was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 9 firms and has passed the Series 63, Series 65, Series 7, Series 1, Series 40 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2004 - June 8, 2017
DILIGENT ADVISORS (D.B.A)
April 11, 2002 - September 20, 2004
JANNEY MONTGOMERY SCOTT LLC
January 13, 2001 - April 17, 2002
DEUTSCHE BANK SECURITIES INC.
December 6, 1999 - January 13, 2001
DB ALEX. BROWN LLC
June 23, 1999 - November 9, 1999
PRUDENTIAL EQUITY GROUP, LLC
September 18, 1995 - June 11, 1999
UBS FINANCIAL SERVICES INC.
August 3, 1990 - August 15, 1990
GRUNTAL & CO., L.L.C.
January 20, 1984 - February 23, 1988
FIRST WESTERN BROKERS, INC.
September 14, 1982 - October 3, 1983
LPL FINANCIAL 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
Series 1
Date: 8/19/1972
Registered Representative ExaminationSeries 40
Date: 12/19/1978
Registered Principal ExaminationCurrent Firm
DILIGENT ADVISORS (D.B.A)
CRD#: 132085 / SEC#:
Contact information
Red Flags
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