Bobby E. Semones
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.
Bobby Edward Semones was a registered financial professional .
Bobby is a previously registered financial professional and started their career in finance in 1976. Bobby had worked at 11 firms and has passed the Series 63, Series 5, Series 7 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
January 10, 2005 - March 10, 2009
S & F SECURITIES, LLC
April 29, 2003 - February 11, 2005
MCC SECURITIES, INC.
August 21, 1995 - November 8, 2002
ARCHIPELAGO TRADING SERVICES, INC.
November 11, 1992 - July 1, 1994
FSC SECURITIES CORPORATION
August 5, 1992 - October 7, 1992
FSC SECURITIES CORPORATION
February 27, 1991 - December 31, 1991
FENNER FINANCIAL, INC.
October 16, 1989 - January 29, 1991
ENTERTAINMENT SECURITIES, INC.
October 29, 1987 - December 31, 1989
FENNER FINANCIAL, INC.
August 25, 1986 - October 15, 1987
ALLEGIANCE SECURITIES CORPORATION
June 21, 1985 - August 19, 1986
MALLOY SECURIITES CORP.
February 10, 1984 - July 12, 1985
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - March 14, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 1, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 11/13/1981
Interest Rate Options ExaminationCurrent Firm
S & F SECURITIES, LLC
CRD#: 132489 / SEC#: , 8-66598
Contact information
Documents
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.
