Robert L. Cuellar
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 Lee Cuellar, who also goes by Bob Cuellar, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2001. Robert had worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2021 - March 4, 2022
MONMOUTH CAPITAL MANAGEMENT LLC
August 11, 2010 - August 30, 2021
GREAT NATION INVESTMENT CORPORATION
May 12, 2006 - August 6, 2010
UNITED EQUITY SECURITIES, LLC
July 18, 2005 - May 11, 2006
AURA FINANCIAL SERVICES, INC.
October 4, 2001 - July 5, 2005
UNITED SECURITIES ALLIANCE, INC.
April 23, 2001 - September 21, 2001
WMA SECURITIES, INC.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
MONMOUTH CAPITAL MANAGEMENT LLC
CRD#: 290248 / SEC#: , 8-70025
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
