Robert A. Del Prete
Professional summary
Robert Anthony Del Prete was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert Anthony Del Prete was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2009. Robert had worked at 1 firm and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2009 - October 27, 2011
R.W. SMITH & ASSOCIATES, 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
R.W. SMITH & ASSOCIATES, LLC
CRD#: 16605 / SEC#: , 8-34240
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory 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.
