Robert W. Postma
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 Postma was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1979. Robert had worked at 10 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
September 16, 2003 - February 27, 2012
FAGENSON & CO., INC.
November 22, 2000 - February 2, 2001
BGC FINANCIAL, L.P.
February 15, 1994 - November 28, 2000
STARR SECURITIES, INC.
July 7, 1987 - February 4, 1994
ADVEST, INC.
November 13, 1985 - May 8, 1987
OUTWATER & WELLS, INC.
July 16, 1984 - April 8, 1985
LEHMAN BROTHERS INC.
March 8, 1983 - July 30, 1984
SANWA UNIVERSAL SECURITIES CO., LLC
March 19, 1980 - January 10, 1983
THOMSON MCKINNON SECURITIES INC.
July 13, 1979 - March 25, 1980
GMS GROUP
January 2, 1979 - March 25, 1980
MOORE & SCHLEY, CAMERON & CO.
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
FAGENSON & CO., INC.
CRD#: 1781 / SEC#: , 8-9952
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
