Robert W. Mohs
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 William Mohs, who also goes by Robert W Mohs, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1977. Robert had worked at 17 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2012 - June 14, 2013
INTL ADVISORY CONSULTANTS INC.
December 3, 2012 - June 14, 2013
STERNE, AGEE & LEACH, INC.
September 5, 2008 - December 5, 2012
RAYMOND JAMES & ASSOCIATES, INC.
September 5, 2008 - December 5, 2012
RAYMOND JAMES & ASSOCIATES, INC.
June 21, 2006 - October 2, 2008
CREDIT SUISSE SECURITIES (USA) LLC
June 20, 2006 - October 2, 2008
CREDIT SUISSE SECURITIES (USA) LLC
May 12, 2003 - July 10, 2006
UBS FINANCIAL SERVICES INC.
May 9, 2003 - July 10, 2006
UBS FINANCIAL SERVICES INC.
November 30, 2001 - May 12, 2003
WELLS FARGO CLEARING SERVICES, LLC
November 12, 2001 - May 12, 2003
WELLS FARGO CLEARING SERVICES, LLC
March 2, 1998 - November 29, 2001
RBC CAPITAL MARKETS, LLC
August 29, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
September 30, 1993 - September 3, 1997
WILLIAM BLAIR
July 3, 1991 - October 1, 1993
PRUDENTIAL EQUITY GROUP, LLC
June 26, 1989 - July 10, 1991
UBS FINANCIAL SERVICES INC.
April 24, 1987 - July 1, 1989
J.P. MORGAN SECURITIES LLC
September 19, 1985 - May 1, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
April 27, 1984 - October 28, 1985
JEFFERIES LLC
June 17, 1981 - April 9, 1984
WILLIAM BLAIR
April 21, 1980 - June 17, 1981
MORGAN STANLEY & CO. LLC
April 11, 1979 - April 28, 1980
CIBC WORLD MARKETS CORP.
September 26, 1978 - December 26, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 1977 - 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: 10/22/1981
Interest Rate Options ExaminationCurrent Firm
INTL ADVISORY CONSULTANTS INC.
CRD#: 130888 / SEC#: 801-63297
Contact information
Red Flags
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