Robert M. Unsell
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 Mundell Unsell was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 3 firms and has passed the Series 63, Series 1 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
May 11, 1999 - September 12, 2013
FIRST WESTERN SECURITIES, INC.
May 9, 1991 - May 10, 1999
WEBER INVESTMENT CORPORATION
April 27, 1970 - May 31, 1991
WEBER, HALL, SALE & ASSOCIATES, 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: 2/2/1965
Registered Representative ExaminationSeries 40
Date: 10/19/1971
Registered Principal ExaminationCurrent Firm
FIRST WESTERN SECURITIES, INC.
CRD#: 19537 / SEC#: 801-70430, 8-37613
Contact information
FINRA licenses (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 36 |
| AUM (Assets Under Management) | $ 41,715,412 |
Disclosures
| Regulatory Event | 5 |
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.
