Robert C. Loeffler
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 Loeffler was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1977. Robert had worked at 11 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2000 - May 9, 2014
NATIONAL SECURITIES CORPORATION
October 8, 1999 - October 26, 2000
SHARPE CAPITAL, INC.
August 12, 1998 - July 29, 1999
GILFORD SECURITIES INCORPORATED
July 21, 1997 - July 30, 1998
TUCKER ANTHONY INCORPORATED
December 21, 1996 - July 22, 1997
BERNARD, RICHARDS SECURITIES, INC.
August 2, 1996 - December 11, 1996
EXCO RMJ INTERNATIONAL INC.
April 14, 1992 - August 8, 1995
TUCKER ANTHONY INCORPORATED
February 26, 1991 - April 4, 1992
ASIEL & CO. LLC
April 21, 1989 - July 5, 1990
TUCKER ANTHONY INCORPORATED
May 4, 1984 - April 24, 1989
PRESCOTT, BALL & TURBEN, INC.
July 18, 1983 - April 5, 1984
FIRSTMARK SECURITIES, INC.
September 27, 1978 - March 9, 1983
PRESCOTT, BALL & TURBEN, INC.
February 23, 1978 - October 12, 1978
MOORE & SCHLEY, CAMERON & CO.
December 5, 1977 - April 9, 1978
BLYTH EASTMAN DILLON & 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
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
