Travis E. Schwab
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.
Travis Elliott Schwab was a registered financial professional .
Travis is a previously registered financial professional and started their career in finance in 2003. Travis had worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 4, Series 24 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
January 22, 2009 - November 7, 2014
RGM SECURITIES, LLC
January 7, 2008 - May 30, 2008
TTBD, LLC
January 6, 2003 - April 21, 2006
NEWEDGE FINANCIAL 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
Current Firm
RGM SECURITIES, LLC
CRD#: 148086 / SEC#: , 8-67964
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RGM ADVISORS, LLC | SOLE MEMBER | |
| BIARD, ROBERT GILLIS | HEAD OF TRADING, BLINK TEAM | 4514131 |
| BOYD, RONALD SCOTT | BOARD OF MANAGERS, CHIEF EXECUTIVE OFFICER | 2846392 |
| FOWLER, SCOTT ALAN | BOARD OF MANAGERS, CHIEF FINANCIAL OFFICER AND TREASURER | 3004363 |
| MAYER, BARI SHIVA | HEAD OF TRADING, CLARITY TEAM | 6470069 |
| SCHWAB, MELISSA DAWN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER AND SECRETARY | 5643021 |
| WILLIAMS, DAVID RENE | DIRECTOR OF TRADING OPERATIONS | 5776462 |
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.
