Robert Waitkus
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 Waitkus was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 8 firms and has passed the SIE, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2015 - December 31, 2016
CARLETON MCKENNA ADVISORS, LLC
September 9, 2003 - June 30, 2009
FINANCIAL AMERICA ADVISORY SERVICES, INC.
January 30, 1995 - August 22, 2014
FINANCIAL AMERICA SECURITIES, INC.
February 27, 1985 - January 27, 1995
AMERICA NORTHCOAST SECURITIES, INC.
July 6, 1977 - April 14, 1986
DALEY & COMPANY
May 31, 1974 - August 2, 1977
PORTFOLIO SECURITIES TRANSACTIONS CORP
January 20, 1972 - May 31, 1974
FIRST CLEVELAND INVESTMENTS, INC.
July 1, 1970 - March 16, 1971
SAUNDERS STIVER & CO
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: 3/3/1969
Registered Representative ExaminationSeries 00
Date: 6/20/1970
General Securities Principal ExaminationCurrent Firm
CARLETON MCKENNA ADVISORS, LLC
CRD#: 159230 / SEC#: , 8-68971
Contact information
FINRA licenses (6 States and Territories)
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.
