Robert D. Farley
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 David Farley, who also goes by Robert Farley, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2004. Robert had worked at 3 firms and has passed the Series 63, Series 7TO, Series 86, Series 87, SIE 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
September 6, 2016 - July 30, 2021
WOLFE RESEARCH SECURITIES
June 10, 2013 - August 10, 2016
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
May 26, 2010 - May 28, 2013
WOLFE RESEARCH SECURITIES
March 25, 2004 - June 12, 2008
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 11/26/2023
General Securities Representative ExaminationCurrent Firm
WOLFE RESEARCH SECURITIES
CRD#: 151850 / SEC#: , 8-68406
Contact information
FINRA licenses (48 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
