Robert L. Mortimer
Professional summary
Robert L Mortimer is a registered financial professional currently at FOCUSPOINT PRIVATE CAPITAL GROUP located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2003. Robert has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert L Mortimer's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 30, 2010 - Present
FOCUSPOINT PRIVATE CAPITAL GROUP
Office #1: 712 Fifth Avenue 8th Floor, Suite 008a, New York, NY 10019June 8, 2005 - April 22, 2010
GUGGENHEIM SECURITIES, LLC
August 19, 2003 - June 9, 2005
GUGGENHEIM INVESTOR SERVICES, LLC
June 2, 2003 - August 1, 2003
GUGGENHEIM SECURITIES, 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
(4/30/2010)
(4/30/2010)
(5/26/2010)
(5/12/2010)
(8/19/2010)
(4/30/2010)
(5/11/2010)
(5/17/2010)
(4/30/2010)
(4/30/2010)
(4/30/2010)
(4/30/2010)
(9/16/2010)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
FOCUSPOINT PRIVATE CAPITAL GROUP
CRD#: 122341 / SEC#: , 8-65488
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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