Robert E. Kristal
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 Eugene Kristal was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2000. Robert had worked at 7 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 87, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2016 - October 15, 2020
H.C.WAINWRIGHT & CO., LLC
June 13, 2014 - April 14, 2016
T.R. WINSTON & COMPANY, LLC
September 18, 2013 - June 12, 2014
H.C.WAINWRIGHT & CO., LLC
October 27, 2011 - June 28, 2012
MLV & CO. LLC
January 7, 2010 - September 26, 2011
G-2 TRADING,LLC
March 27, 2009 - January 4, 2010
MERRIMAN CAPITAL, INC.
May 1, 2003 - March 24, 2009
RODMAN & RENSHAW, LLC
November 10, 2000 - January 7, 2003
TD SECURITIES (USA) 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 7TO
Date: 4/26/2024
General Securities Representative ExaminationSeries 79TO
Date: 4/26/2024
Investment Banking Registered Representative ExaminationCurrent Firm
H.C.WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
Red Flags
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