Robert B. Trainer
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 Browning Trainer JR, who also goes by Robert Browning Trainer, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1980. Robert had worked at 6 firms and has passed the Series 63, SIE, Series 3, 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
September 30, 2010 - December 31, 2023
CARL M. HENNIG, INC.
November 29, 2001 - September 29, 2010
BRIGGS-FICKS SECURITIES, LLC
October 17, 2000 - December 3, 2001
FIRST MIDWEST SECURITIES, INC.
May 20, 1997 - September 29, 2000
SEGERDAHL & COMPANY, INC.
March 29, 1985 - May 2, 1997
MEGARIAN, INC.
February 22, 1980 - April 3, 1985
ROBERT W. BAIRD & CO. 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
CARL M. HENNIG, INC.
CRD#: 140 / SEC#: , 8-14509
Contact information
FINRA licenses (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 24 |
| AUM (Assets Under Management) | $ 24,700,000 |
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.
