Robert W. Rettig
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 W Rettig 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 66, 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
October 15, 2014 - February 17, 2017
KOVACK SECURITIES INC.
November 27, 2012 - February 24, 2017
SAOS CAPITAL, LLC
January 24, 2012 - October 15, 2014
RESOURCE HORIZONS GROUP LLC
June 24, 2010 - February 3, 2012
LPL FINANCIAL LLC
June 22, 2010 - February 3, 2012
LPL FINANCIAL LLC
January 30, 2007 - June 24, 2010
EDWARD JONES
July 25, 2006 - June 24, 2010
EDWARD JONES
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
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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