Robert W. Slemmer
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 Weston Slemmer was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1965. Robert had worked at 10 firms and has passed the Series 63, Series 55, Series 1, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 1989 - February 2, 2010
HUDSON VALLEY CAPITAL MANAGEMENT
October 12, 1988 - May 18, 1989
SANWA SECURITIES (USA) CO., L.P.
October 12, 1988 - August 24, 1989
SANWA UNIVERSAL SECURITIES CO., LLC
September 22, 1982 - November 25, 1988
DAVIS, MENDEL & REGENSTEIN, INC.
April 19, 1979 - May 28, 1982
J.C. BRADFORD & CO.
September 22, 1976 - February 24, 1979
FIFTH THIRD SECURITIES, INC.
July 28, 1975 - September 20, 1976
WEIL, ROTH & IRVING INC.
September 18, 1974 - August 19, 1975
K. J. BROWN & CO., INC.
May 4, 1973 - October 9, 1974
HILL & CO.
March 9, 1965 - May 14, 1973
W. E. HUTTON & CO.
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 55
Date: 4/22/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 3/5/1965
Registered Representative ExaminationF04
Date: 6/3/1975
Financial Principal ExaminationSeries 00
Date: 5/20/1975
General Securities Principal ExaminationCurrent Firm
HUDSON VALLEY CAPITAL MANAGEMENT
CRD#: 24162 / SEC#: , 8-40998
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Financial | 1 |
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.
