Robert W. Fischer
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 William Fischer was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2006. Robert had worked at 5 firms and has passed the Series 63, 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
January 5, 2015 - December 18, 2015
MOSAIC CAPITAL, LLC
August 29, 2014 - October 30, 2015
BAYES CAPITAL LLC
May 5, 2009 - June 25, 2014
GFI SECURITIES LLC
March 16, 2007 - March 19, 2009
TP ICAP GLOBAL MARKETS AMERICAS LLC
July 6, 2006 - December 18, 2006
ICE BONDS SECURITIES CORPORATION
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
Current Firm
MOSAIC CAPITAL, LLC
CRD#: 171587 / SEC#: , 8-69469
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Civil 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.
