Robert E. Bragg
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 Elton Bragg III, who also goes by Robert Bailes, Robert Elton Bragg, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1977. Robert had worked at 10 firms and has passed the Series 63, Series 7, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 1986 - August 13, 1986
CENPAC SECURITIES CORP.
August 7, 1984 - November 13, 1985
CALIFORNIA BROKERAGE SERVICES,INC.
March 1, 1983 - November 21, 1983
J. W. WELLER & CO., INC.
August 24, 1982 - February 15, 1983
VENHU SECURITIES INC.
June 10, 1982 - July 3, 1985
NORTHRIDGE SECURITIES, INC.
April 7, 1982 - April 20, 1982
J. W. WELLER & CO., INC.
March 8, 1982 - March 31, 1982
AMERICAN WESTERN SECURITIES, INC.
February 28, 1980 - April 13, 1982
NORTHRIDGE SECURITIES, INC.
July 14, 1978 - June 17, 1981
SOCAL-EQUITIES, INC.
April 20, 1978 - January 16, 1980
BLINDER, ROBINSON & CO., INC.
November 23, 1977 - May 26, 1978
M. S. WIEN & CO., INC.
April 1, 1977 - January 5, 1978
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
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: 10/21/1980
Financial Principal ExaminationSeries 40
Date: 10/30/1978
Registered Principal ExaminationCurrent Firm
CENPAC SECURITIES CORP.
CRD#: 16089 / SEC#: , 8-33257
Contact information
Documents
Red Flags
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