Robert L. Soifer
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 Lane Soifer was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1976. Robert had worked at 6 firms and has passed the Series 63, SIE, PC, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2006 - July 8, 2019
MARINER GROUP CAPITAL MARKETS, LLC
November 6, 1998 - February 23, 2000
LEGG MASON WOOD WALKER, INCORPORATED
October 8, 1996 - October 6, 1998
CIBC WORLD MARKETS CORP.
July 23, 1996 - September 27, 1996
TUCKER ANTHONY INCORPORATED
July 12, 1994 - July 23, 1996
STORMHARBOUR SECURITIES LP
March 1, 1976 - June 10, 1994
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 5/13/1983
AMEX Put and Call ExamSeries 5
Date: 10/29/1981
Interest Rate Options ExaminationCurrent Firm
MARINER GROUP CAPITAL MARKETS, LLC
CRD#: 25878 / SEC#: , 8-42116
Contact information
FINRA licenses (4 States and Territories)
Documents
Red Flags
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