Robert L. Slattery
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 Leo Slattery was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 12 firms and has passed the Series 65, Series 63, PC, Series 1 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
October 29, 2010 - December 18, 2013
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
October 28, 2010 - December 18, 2013
CAPITAL GUARDIAN, LLC
April 3, 2009 - November 3, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 19, 2009 - November 3, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 22, 1989 - March 13, 2009
CITIGROUP GLOBAL MARKETS INC.
February 25, 1987 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
May 3, 1982 - March 2, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
February 17, 1981 - May 11, 1982
LEHMAN BROTHERS KUHN LOEB INCORPORATED
February 24, 1978 - January 28, 1980
MORGAN STANLEY DW INC.
December 18, 1975 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
October 9, 1975 - December 22, 1975
KEYBANC CAPITAL MARKETS INC.
July 16, 1973 - November 6, 1975
DEAN WITTER & CO. INCORPORATED
July 21, 1972 - October 26, 1973
LOMBARD, NELSON & MCKENNA, INC
June 13, 1969 - August 17, 1972
EQUITABLE SECURITIES MORTON & CO INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 8/23/1982
AMEX Put and Call ExamSeries 1
Date: 12/4/1967
Registered Representative ExaminationSeries 8
Date: 8/25/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
CRD#: 131631 / SEC#: 801-63969
Contact information
Red Flags
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