Robert E. Burks
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 E Burks JR, who also goes by Robert E Burks, Robert E Burks Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2005. Robert had worked at 5 firms and has passed the Series 66, SIE, Series 7TO, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2025 - May 14, 2026
ALPS DISTRIBUTORS, INC.
May 3, 2019 - February 19, 2021
ALPS DISTRIBUTORS, INC.
March 25, 2019 - June 5, 2026
BROWN CAPITAL MANAGEMENT, LLC
March 4, 2016 - March 6, 2019
CLEARBRIDGE INVESTMENTS, LLC
March 4, 2016 - March 6, 2019
FRANKLIN DISTRIBUTORS, LLC
May 13, 2005 - June 9, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 2005 - June 9, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/21/2024
General Securities Representative ExaminationCurrent Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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