Robert J. Ascher
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 Jay Ascher was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 8 firms and has passed the Series 63, SIE, PC, Series 1 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2017 - April 26, 2018
OBEX SECURITIES LLC
November 23, 2011 - March 10, 2015
JEFFERIES LLC
June 5, 2009 - November 23, 2011
JEFFERIES BACHE SECURITIES, LLC
October 11, 2006 - June 11, 2009
UBS SECURITIES LLC
June 15, 2006 - October 17, 2006
UBS CLEARING SERVICES CORPORATION
May 17, 2001 - October 4, 2006
ABN AMRO INCORPORATED
September 26, 1978 - June 20, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 1970 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
PC
Date: 5/1/1977
AMEX Put and Call ExamSeries 1
Date: 2/18/1970
Registered Representative ExaminationCurrent Firm
OBEX SECURITIES LLC
CRD#: 120002 / SEC#: , 8-65242
Contact information
FINRA licenses (3 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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