Robert G. Cauley
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 George Cauley was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 7 firms and has passed the Series 63, PC, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 1991 - December 31, 1997
MILLER JOHNSON STEICHEN KINNARD, INC.
March 16, 1990 - January 23, 1991
JOHN G. KINNARD AND COMPANY, INCORPORATED
July 20, 1989 - February 13, 1990
PIPER SANDLER & CO.
September 16, 1977 - January 3, 1989
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
April 11, 1969 - February 27, 1976
BACHE & CO., INCORPORATED
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
PC
Date: 3/1/1977
AMEX Put and Call ExamSeries 1
Date: 12/20/1962
Registered Representative ExaminationSeries 40
Date: 1/25/1973
Registered Principal ExaminationCurrent Firm
MILLER JOHNSON STEICHEN KINNARD, INC.
CRD#: 694 / SEC#: , 8-1303
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 8 |
Red Flags
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