AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
RS

Robert Alton Shuey Iii

CRD# 710362·Registered 1980 - 2002
Barred: Robert Alton Shuey III was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Robert Alton Shuey III, who also goes by Robert Alton Shuey, Robert Altron Shuey III, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1980 - 2002. Robert had worked at 14 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Robert Alton Shuey, Robert Altron Shuey Iii

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

46 years in the financial services industry

Current & Past Employments

RUSHMORE SECURITIES CORPORATION·CRD# 8392
BD
Dallas, TX
January 19, 2001 - April 1, 2002
INSTITUTIONAL EQUITY CORPORATION·CRD# 19628
BD
Dallas, TX
January 7, 1999 - July 2, 2001
TEJAS SECURITIES GROUP, INC.·CRD# 36705
BD
Austin, TX
September 2, 1997 - December 31, 1998
NATIONAL SECURITIES CORPORATION·CRD# 7569
BD
Boca Raton, FL
October 16, 1996 - October 1, 1997
CENTEX SECURITIES, INCORPORATED·CRD# 18493
BD
La Jolla, CA
April 11, 1995 - October 15, 1996
DILLON - GAGE SECURITIES, INC.·CRD# 10821
BD
Addison, TX
February 24, 1994 - April 3, 1995
DICKINSON & CO.·CRD# 689
BD
Des Moines, IA
March 1, 1993 - December 8, 1993
CULLUM & SANDOW SECURITIES, INC.·CRD# 15836
BD
Dallas, TX
October 13, 1992 - March 10, 1993
HATCHER & COMPANY·CRD# 7182
BD
November 3, 1989 - October 16, 1990
MERIT SECURITIES, INC.·CRD# 17577
BD
Dallas, TX
September 29, 1989 - December 23, 1991
M.S. ETHEREDGE & CO., INC.·CRD# 7648
BD
November 2, 1987 - June 28, 1989
RAUSCHER PIERCE REFSNES, INC.·CRD# 6663
BD
June 27, 1984 - November 3, 1987
INSTITUTIONAL EQUITY CORPORATION·CRD# 4035
BD
May 1, 1981 - July 16, 1984
SALOMON BROTHERS INC.·CRD# 740
BD
June 26, 1980 - May 24, 1981

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

RS
RUSHMORE SECURITIES CORPORATION

KEN DAVIS SECURITIES, INC. | RUSHTRADE.COM | RUSHMORE SECURITIES CORPORATION

CRD#: 8392 / SEC#: 8-25253
BD
Terminated by SEC on 01/25/2004

Contact Information

Established

Texas since 07/07/1980

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
RUSHMORE FINANCIAL GROUP, INC.STOCKHOLDER—
MOORE, DEWEY MALONE JRDIRECTOR801534
ZUCKER, BRUCE ELLIOTPRESIDENT-FINOPS477237

Disclosures

Regulatory Event

5

Arbitration

3

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1980About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jun 1980About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 1991About the Series 24 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
RS
Follow Robert
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required