Robert L. Davis
Professional summary
Robert Lee Davis JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Robert had worked at 6 firms, which includes FFP SECURITIES INC., THE ADVISORS GROUP INC., BROOKLIGHT PLACE SECURITIES INC., VSR FINANCIAL SERVICES INC., MUTUAL SERVICE CORPORATION, NEW ENGLAND SECURITIES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 1998 - April 9, 1998
FFP SECURITIES, INC.
July 10, 1996 - January 23, 1998
FFP SECURITIES, INC.
September 19, 1995 - July 5, 1996
THE ADVISORS GROUP, INC.
March 24, 1992 - August 25, 1995
BROOKLIGHT PLACE SECURITIES, INC.
March 22, 1989 - December 31, 1991
VSR FINANCIAL SERVICES, INC.
October 31, 1988 - December 17, 1988
VSR FINANCIAL SERVICES, INC.
November 15, 1984 - October 5, 1988
MUTUAL SERVICE CORPORATION
December 3, 1980 - November 19, 1984
NEW ENGLAND SECURITIES
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
FFP SECURITIES, INC.
CRD#: 16337 / SEC#: , 8-33728
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANCED EQUITIES FINANCIAL CORP. | 100% OWNERSHIP | |
| DOZA, JANICE M | CFO | 4663841 |
| FINDALL, LINDA SUE | SROP | 1187842 |
| FRIEDMAN, TIMOTHY NATHAN | CROP | 1967603 |
| HAEDIKE, CHRISTINE D | CCO, DIRECTOR, FFP SECURITIES, INC. | 2489703 |
| HATTON, ROBERT ALLAN | CHIEF OPERATING OFFICER | 1985166 |
| JUNKINS, CRAIG ALLEN | CEO/PRESIDENT/CHAIRMAN OF THE BOARD | 830565 |
| RODERMUND, ROBIN HENRY | DIRECTOR, FFP SECURITIES, INC. | 2097379 |
| YANNAKAKIS, ANNE KANELA | CHIEF LEGAL OFFICER | 4197441 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 10 |
| Bond | 1 |
Red Flags
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