Robert P. Foley
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 Patrick Foley, who also goes by Robert Foley, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2012. Robert had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2020 - December 21, 2022
PARLAY READ
February 21, 2018 - January 4, 2021
WYNSTON HILL CAPITAL, LLC
May 28, 2015 - January 15, 2016
MAXIM GROUP LLC
November 14, 2012 - June 30, 2014
PRUCO SECURITIES, LLC.
June 20, 2012 - October 24, 2012
MSI FINANCIAL SERVICES, INC.
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 7TO
Date: 3/3/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/3/2024
Operations Professional ExaminationCurrent Firm
PARLAY READ
CRD#: 310674 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 8 |
| AUM (Assets Under Management) | $ 610,000 |
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.
