Robert C. Gurvin

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CRD#: 826368

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 Charles Gurvin was a registered financial advisor .

Robert is a previously registered financial advisor and started their career in finance in 1976. Robert had worked at 13 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 2, 2008 - November 7, 2011

RIDGEWAY & CONGER, INC.

CRD#: 113055

NEW WOODSTOCK, NY

Past

July 1, 2008 - November 7, 2011

RIDGEWAY CONGER ADVISORY SERVICES

RIA

CRD#: 139372

SAINT CLAIR SHORES, MI

Past

June 7, 2005 - July 2, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

ST. CLAIR SHORES, MI

Past

March 1, 2004 - July 2, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. CLAIR SHORES, MI

Past

April 12, 2002 - February 19, 2004

COMERICA SECURITIES

CRD#: 17079

DETROIT, MI

Past

May 27, 1999 - April 12, 2002

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

May 25, 1995 - February 5, 1999

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

October 5, 1993 - May 4, 1995

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

August 10, 1989 - November 10, 1993

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

June 20, 1989 - August 16, 1989

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

September 13, 1982 - March 28, 1985

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

June 21, 1978 - October 8, 1982

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

September 7, 1977 - May 16, 1978

WHITE, WELD & CO. INCORPORATED

CRD#: 6802

Past

September 1, 1976 - October 21, 1977

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/25/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/6/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/17/1989

General Securities Representative Examination

Current Firm

RIDGEWAY & CONGER, INC.

CRD#: 113055 / SEC#: , 8-53291

Terminated by SEC on 07/10/2016

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 02/02/2001

Firm type

Corporation

Fiscal year end

March

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
CLAYTON LOWELL & CONGER, INC.	OWNER
GARBER, LEIGH MCCOBB	PRESIDENT, CEO	2768572
GARBER, LEIGH MCCOBB	CCO/COO
GARBER, LEIGH MCCOBB	MUNI. PRIN./VP/SEC/TREAS/ROSFP	2768572

Disclosures

Regulatory Event	8
Arbitration	2

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.

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Advisor Monitoring

Firm Stability Insights

Robert C. Gurvin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RIDGEWAY CONGER ADVISORY SERVICES

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

COMERICA SECURITIES

BANC ONE SECURITIES CORPORATION

CHARLES SCHWAB & CO., INC.

WELLS FARGO CLEARING SERVICES, LLC

FIFTH THIRD SECURITIES, INC.

ROBERT THOMAS SECURITIES, INC

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

WHITE, WELD & CO. INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/25/2000

Series 63

Date: 7/6/1989

Series 7

Date: 6/17/1989

Current Firm

RIDGEWAY & CONGER, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

RIDGEWAY & CONGER, INC.

TRUST BUT VERIFY

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