Robert W. Skipton
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 Skipton was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1973. Robert had worked at 5 firms and has passed the Series 65, Series 63, Series 1, Series 000 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2000 - March 15, 2004
A. G. EDWARDS & SONS, INC.
January 23, 1994 - March 15, 2004
A. G. EDWARDS & SONS, INC.
December 18, 1981 - February 9, 1994
PRUDENTIAL EQUITY GROUP, LLC
May 19, 1978 - January 17, 1982
KIDDER, PEABODY & CO. INCORPORATED
April 10, 1974 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
August 1, 1973 - April 16, 1974
DUPONT WALSTON
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: 7/24/1973
Registered Representative ExaminationSeries 000
Date: 7/23/1973
General Securities Principal ExaminationSeries 8
Date: 6/6/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
A. G. EDWARDS & SONS, INC.
CRD#: 4 / SEC#: , 8-13580
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| A.G. EDWARDS, INC. | HOLDING COMPANY | |
| ATKIN, MARY MARGARET | DIRECTOR, EXECUTIVE VICE PRESIDENT | 863962 |
| BAGBY, ROBERT LEE | CHAIRMAN OF BOARD OF DIRECTORS | 9985 |
| BIEBEL, PETER ALAN | SENIOR REGISTERED OPTIONS PRINCIPAL | 722143 |
| GRUMKE, CLAY LEONARD | CHIEF LEGAL COUNSEL, VICE PRESIDENT | 2199350 |
| HOPKINS, DAVID RICHARD | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER | 4802877 |
| KELLY, DOUGLAS LAIRD | CORPORATE SECRETARY, DIRECTOR, EXECUTIVE VP; CHIEF OPERATING OF | 2428802 |
| LUDEMAN, DANIEL JAMES | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 874126 |
| MAHAT, MARC ALAN | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 1967091 |
| UNDERWOOD, BRIAN CLINTON | DIRECTOR, CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT | 1229168 |
Disclosures
| Regulatory Event | 77 |
| Arbitration | 265 |
| Bond | 3 |
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.
