Robert T. Trumpy
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 Theodore Trumpy was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1973. Robert had worked at 6 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 1997 - December 31, 2010
ADVANCED FINANCIAL PLANNING CONSULTANTS
October 11, 1983 - February 26, 2009
BATES SECURITIES, INC.
June 2, 1978 - January 8, 1985
DIXON BRETSCHER NOONAN INC.
February 27, 1973 - June 22, 1978
AMERICAN EXPRESS FINANCIAL CORPORATION
February 27, 1973 - June 22, 1978
AMERIPRISE FINANCIAL SERVICES, LLC
February 27, 1973 - June 22, 1978
IDS LIFE INSURANCE COMPANY
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: 2/22/1973
Registered Representative ExaminationCurrent firm
No current employment
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.
