Robert T. Sharkey
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 Timothy Sharkey, who also goes by Tim Sharkey, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2018. Robert had worked at 2 firms and has passed the 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 16, 2018 - May 11, 2020
RBC CMA LTD
March 26, 2018 - October 17, 2019
RBC CAPITAL MARKETS, LLC
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
RBC CMA LTD
CRD#: 121263 / SEC#: , 8-65401
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROYAL BANK HOLDING INC. | DIRECT OWNER | |
| GRANNIS, JOHN | CHIEF OPERATING OFFICER | 2934841 |
| JASNOSZ, MICHAEL EDWARD | CHIEF COMPLIANCE OFFICER | 4386029 |
| JIANG, HE | PRINCIPAL OPERATIONS OFFICER | 5107323 |
| MANNING, THOMAS JAMES IV | PRESIDENT, CEO | 5182531 |
| PODYMA, LIDIA ANETA | PRINCIPAL FINANCIAL OFFICER | 5764487 |
| ROSENBAUM, DANIEL PHILIP | CHAIRMAN OF THE BOARD | 2797995 |
Disclosures
| Regulatory Event | 6 |
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.
