Robert Waterston
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 Waterston, who also goes by Bob Waterston, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 7 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 1997 - August 25, 2016
RHODES SECURITIES, INC.
July 24, 1981 - June 30, 1997
OSAIC FS, INC.
December 21, 1976 - July 13, 1981
SECURITIES MANAGEMENT & RESEARCH, INC.
March 27, 1975 - February 21, 1976
CALIFORNIA-WESTERN STATES LIFE INSURANCE COMPANY
March 27, 1975 - February 21, 1976
CAL-WESTERN SECURITIES CO.
March 23, 1970 - February 3, 1977
NORTH STAR EQUITIES COMPANY
March 23, 1970 - March 6, 1982
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
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
Series 1
Date: 1/15/1970
Registered Representative ExaminationCurrent Firm
RHODES SECURITIES, INC.
CRD#: 19610 / SEC#: , 8-37689
Contact information
FINRA licenses (45 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
