Robert S. Naftal
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 Stephen Naftal, who also goes by Bob Naftal, Robert S Naftal, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1975. Robert had worked at 8 firms and has passed the Series 63, Series 1 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 1987 - January 11, 1990
NAFTAL MATESE SECURITIES, INC.
October 18, 1984 - June 30, 1987
FOCUS SECURITIES, INC.
May 22, 1981 - October 29, 1984
CARDELL & ASSOCIATES, INCORPORATED
December 6, 1977 - June 12, 1981
INDEPENDENT FINANCIAL PLANNERS CORPORATION
November 5, 1975 - November 29, 1977
AMERICAN EXPRESS FINANCIAL CORPORATION
November 5, 1975 - November 29, 1977
AMERIPRISE FINANCIAL SERVICES, LLC
November 5, 1975 - November 29, 1977
IDS LIFE INSURANCE COMPANY
January 24, 1975 - January 6, 1976
CORNERSTONE FINANCIAL SERVICES, 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
Series 1
Date: 1/21/1975
Registered Representative ExaminationCurrent Firm
NAFTAL MATESE SECURITIES, INC.
CRD#: 17936 / SEC#: , 8-35967
Contact information
Documents
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.
