Robert B. Canning
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 B Canning Jr, who also goes by Rob Canning, Robert Blayne Canning Jr, Robert Blayne Canning, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1979. Robert had worked at 15 firms and has passed the Series 63, SIE, Series 55, Series 5, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2014 - July 7, 2014
W.A. CAPITAL MARKETS
May 1, 2013 - October 28, 2013
AEGIS CAPITAL CORP.
April 18, 2011 - February 7, 2012
BOENNING & SCATTERGOOD, INC.
April 21, 2010 - April 19, 2011
ABSHIER WEBB DONNELLY & BAKER, INC.
September 15, 2009 - April 12, 2010
BOENNING & SCATTERGOOD, INC.
October 29, 2008 - September 17, 2009
ABSHIER WEBB DONNELLY & BAKER, INC.
January 1, 2008 - January 18, 2008
FERRIS, BAKER WATTS, LLC
February 9, 1996 - February 9, 2006
ML PETRIE PARKMAN CO., INC.
February 28, 1994 - January 8, 1996
RAUSCHER PIERCE REFSNES, INC.
September 18, 1990 - January 5, 1993
RAUSCHER PIERCE REFSNES, INC.
September 4, 1990 - September 18, 1990
WELLS FARGO CLEARING SERVICES, LLC
December 9, 1988 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
September 1, 1987 - January 19, 1989
BOETTCHER & COMPANY, INC.
June 4, 1986 - September 1, 1987
LOVETT MITCHELL WEBB & GARRISON, INC.
March 13, 1986 - June 9, 1986
ROBERT W. BAIRD & CO. INCORPORATED
September 19, 1983 - November 22, 1983
UBS ASSET MANAGEMENT (US) INC.
April 17, 1980 - September 8, 1983
ROTAN MOSLE INC.
March 26, 1979 - March 20, 1980
KIDDER, PEABODY & 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
Series 55
Date: 11/18/1998
Limited Representative-Equity Trader ExamSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
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.
