Robert R. Warnock
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 R Warnock IV, who also goes by Bob Raymond Warnock, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2008. Robert had worked at 2 firms and has passed the Series 63, Series 56 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2011 - August 29, 2014
SPOT TRADING L.L.C.
February 20, 2008 - August 1, 2008
M&T SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 56
Date: 9/7/2011
Proprietary Trader Qualification ExaminationCurrent Firm
SPOT TRADING L.L.C.
CRD#: 47666 / SEC#: , 8-51855
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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