Robert E. Davies
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 Edwin Davies, who also goes by Bob Davies, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1975. Robert had worked at 9 firms and has passed the Series 63, SIE, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2005 - March 22, 2012
MKG FINANCIAL GROUP, INC.
February 9, 2004 - May 6, 2004
MKG FINANCIAL GROUP, INC.
August 1, 1994 - October 19, 1994
COLWELL PARTNERS, INC.
November 1, 1988 - July 31, 1989
MARQUAM CAPITAL CORPORATION
May 16, 1985 - October 15, 2018
PACIFIC INVESTMENT SECURITIES CORP.
February 5, 1985 - May 10, 1985
WESTERN CAPITAL INVESTORS SERVICES, INC.
April 5, 1983 - November 10, 1989
INVESTMENT CAPITAL CORPORATION
December 30, 1980 - June 8, 1983
MCDEVITT & COMPANY INVESTMENT CORPORATION
June 12, 1979 - October 10, 1986
PAULSON INVESTMENT COMPANY LLC
September 4, 1975 - December 13, 1978
KMS 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
F04
Date: 8/26/1975
Financial Principal ExaminationSeries 00
Date: 8/26/1975
General Securities Principal ExaminationCurrent Firm
MKG FINANCIAL GROUP, INC.
CRD#: 104214 / SEC#: 801-62971, 8-52692
Contact information
Regulatory assets under management
| Total Number of Accounts | 112 |
| AUM (Assets Under Management) | $ 16,189,362 |
Disclosures
| Regulatory Event | 1 |
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.
