Robert G. Cardwell
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 George Cardwell was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1977. Robert had worked at 11 firms and has passed the Series 63, Series 3, Series 7, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 1989 - June 29, 1989
CIBC WORLD MARKETS CORP.
January 11, 1989 - January 24, 1989
WESTCAP SECURITIES, L.P.
September 8, 1988 - December 23, 1988
U.S. ASSOCIATES OF FLORIDA, INC.
July 8, 1988 - August 25, 1988
GULFSTREAM FINANCIAL ASSOCIATES, INC.
January 20, 1988 - February 12, 1988
U.S. ASSOCIATES, INC.
October 23, 1987 - June 1, 1988
LIFE SECURITIES CORPORATION
April 28, 1986 - October 31, 1986
TMA GOVERNMENT SECURITIES, LTD.
July 1, 1983 - September 10, 1984
MORGAN STANLEY DW INC.
November 1, 1977 - February 27, 1978
CIBC WORLD MARKETS CORP.
August 18, 1977 - October 2, 1977
HANAUER, STERN & COMPANY,INCORPORATED
April 12, 1977 - June 26, 1977
SWINK & COMPANY, INC.
February 17, 1977 - May 29, 1977
WINTERS & COMPANY, 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
Series 40
Date: 2/26/1977
Registered Principal ExaminationCurrent Firm
CIBC WORLD MARKETS CORP.
CRD#: 630 / SEC#: , 8-18333
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
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.
