Robert H. Anderson
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 Howard Anderson, who also goes by Bob Anderson, Robert H Anderson, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1980. Robert had worked at 22 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2020 - October 12, 2022
THE BROUGHTON INVESTMENT GROUP, INC.
November 24, 2019 - November 4, 2020
WESTPARK WEALTH ADVISORS, INC.
April 12, 2019 - November 3, 2020
CALTON & ASSOCIATES, INC.
October 10, 2017 - January 9, 2019
NATALLIANCE SECURITIES, LLC
April 10, 2017 - June 20, 2017
DREXEL HAMILTON, LLC
April 7, 2016 - March 28, 2017
NATALLIANCE SECURITIES, LLC
August 27, 2014 - February 12, 2016
DREXEL HAMILTON, LLC
April 28, 2014 - August 21, 2014
NATALLIANCE SECURITIES, LLC
October 24, 2013 - March 14, 2014
MULTI-BANK SECURITIES, INC.
December 3, 2012 - October 8, 2013
HILLTOP SECURITIES INC.
March 8, 2012 - November 9, 2012
CRT CAPITAL GROUP LLC
October 6, 2010 - March 20, 2012
PIERPONT CAPITAL ADVISORS LLC
January 26, 2010 - October 27, 2010
STERNE, AGEE & LEACH, INC.
April 10, 2008 - February 10, 2010
FINACORP SECURITIES
June 18, 2007 - March 13, 2008
JEFFERIES LLC
April 25, 2006 - June 15, 2007
STERNE, AGEE & LEACH, INC.
July 1, 2002 - April 13, 2006
BOK FINANCIAL SECURITIES, INC.
June 18, 2001 - July 2, 2002
ASSOCIATED INVESTMENT SERVICES, INC.
November 30, 1998 - February 12, 2001
CUNA BROKERAGE SERVICES, INC.
April 6, 1993 - November 11, 1996
UBS FINANCIAL SERVICES INC.
April 29, 1988 - March 17, 1993
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
October 1, 1987 - April 28, 1988
BLUNT ELLIS & LOEWI INCORPORATED
September 25, 1985 - May 2, 1987
ROBERT W. BAIRD & CO. INCORPORATED
October 13, 1983 - May 21, 1984
PRUDENTIAL EQUITY GROUP, LLC
May 11, 1982 - September 28, 1983
RAUSCHER PIERCE REFSNES, INC.
August 22, 1980 - January 30, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Series 5
Date: 9/24/1981
Interest Rate Options ExaminationCurrent Firm
THE BROUGHTON INVESTMENT GROUP, INC.
CRD#: 164389 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 55 |
| AUM (Assets Under Management) | $ 19,500,000 |
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.
