Robert O. Lakin
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 Oertell Lakin was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2015. Robert had worked at 1 firm and has passed the Series 63, SIE and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2015 - April 28, 2016
FIRST MIDSTATE INCORPORATED
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
FIRST MIDSTATE INCORPORATED
CRD#: 4300 / SEC#: , 8-11575
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROWN, PAUL DAVIS | PRESIDENT/CHIEF COMPLIANCE OFFICER | 1031376 |
Disclosures
| Regulatory Event | 3 |
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.
