Robert A. Uhr
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 Alan Uhr, who also goes by Uhr Alan Robert, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2002. Robert had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2006 - October 19, 2007
CAPITAL GROWTH FINANCIAL, LLC
July 8, 2005 - September 22, 2006
BROAD STREET SECURITIES, INC.
February 6, 2004 - June 24, 2005
GUNNALLEN FINANCIAL, INC
August 29, 2003 - February 25, 2004
LH ROSS & COMPANY, INC.
October 6, 2002 - September 26, 2003
NEWBRIDGE SECURITIES CORPORATION
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
Current Firm
CAPITAL GROWTH FINANCIAL, LLC
CRD#: 41040 / SEC#: , 8-49268
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 8 |
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.
