Robert L. Stosick
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 L Stosick was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1971. Robert had worked at 4 firms and has passed the Series 66, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2009 - November 30, 2015
SCF INVESTMENT ADVISORS, INC.
December 12, 2008 - November 30, 2015
SCF SECURITIES, INC.
January 5, 2005 - December 31, 2006
TRANSAMERICA FINANCIAL ADVISORS, INC.
December 6, 2004 - December 31, 2006
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 1, 1999 - October 13, 2004
EQUITY SERVICES, INC.
August 5, 1971 - October 13, 2004
EQUITY SERVICES, 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 1
Date: 8/2/1971
Registered Representative ExaminationCurrent Firm
SCF INVESTMENT ADVISORS, INC.
CRD#: 123608 / SEC#: 801-71206
Contact information
Regulatory assets under management
| Total Number of Accounts | 6,190 |
| AUM (Assets Under Management) | $ 1,349,597,453 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2024 | ||
| 06/28/2024 |
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.
