Robert A. Waltz
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 Anthony Waltz was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1968. Robert had worked at 6 firms and has passed the Series 65, Series 63, PC, Series 3 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
September 24, 2001 - September 17, 2002
CONTINENTAL BROKER-DEALER CORP.
February 6, 1992 - February 23, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 12, 1988 - November 14, 1991
MORGAN STANLEY DW INC.
July 7, 1983 - March 19, 1988
E. F. HUTTON & COMPANY INC
May 15, 1980 - June 7, 1983
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 28, 1968 - May 11, 1980
LINCOLN FINANCIAL DISTRIBUTORS, 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
PC
Date: 4/10/1996
AMEX Put and Call ExamSeries 1
Date: 8/23/1968
Registered Representative ExaminationCurrent Firm
CONTINENTAL BROKER-DEALER CORP.
CRD#: 14048 / SEC#: , 8-43159
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 15 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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