Robert F. Rieger
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 Francis Rieger was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2011. Robert had worked at 3 firms and has passed the Series 63, Series 65, 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
March 25, 2013 - April 19, 2016
THIRD SEVEN CAPITAL LLC
October 20, 2011 - January 3, 2012
MCBARRON CAPITAL LLC
February 8, 2011 - December 5, 2011
CIM ADVISERS, 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
THIRD SEVEN CAPITAL LLC
CRD#: 160209 / SEC#: , 8-69032
Contact information
FINRA licenses (53 States and Territories)
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.
