Robert J. Bragoli
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 Joseph Bragoli, who also goes by Robert Bragoli, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2010. Robert had worked at 4 firms and has passed the Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2022 - July 22, 2024
PURSHE KAPLAN STERLING INVESTMENTS
August 4, 2021 - May 5, 2022
ROCKEFELLER FINANCIAL LLC
March 18, 2011 - November 29, 2011
JEFFERIES HIGH YIELD TRADING, LLC
April 9, 2010 - November 29, 2011
JEFFERIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 8/4/2021
General Securities Representative ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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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