Roberts W. Brokaw
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.
Roberts Wyckoff Brokaw III, who also goes by Rob Brokaw, Roberts Wyckoff Brokaw, was a registered financial professional .
Roberts is a previously registered financial professional and started their career in finance in 1976. Roberts had worked at 8 firms and has passed the Series 63, SIE, PC, 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
August 12, 2014 - August 7, 2015
WEILD & CO.
September 16, 2010 - November 2, 2012
THINKEQUITY LLC
June 6, 2006 - October 8, 2008
XSG CORPORATE FINANCE, LLC
April 9, 2004 - September 15, 2005
QUADRISERV SECURITIES, INC.
November 6, 2000 - May 3, 2002
J.P. MORGAN SECURITIES LLC
February 25, 1998 - October 19, 2000
UBS FINANCIAL SERVICES INC.
April 27, 1985 - April 17, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 26, 1976 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
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 ExamCurrent Firm
WEILD & CO.
CRD#: 132398 / SEC#: , 8-66593
Contact information
FINRA licenses (52 States and Territories)
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.
