Robert J. Smith
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 James Smith, who also goes by Bobby Smith, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1979. Robert had worked at 19 firms and has passed the Series 63, Series 5, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 1994 - February 13, 1996
MASTERSON MORELAND SAUER WHISMAN, INC.
March 15, 1993 - April 7, 1994
M.G.S.I. SECURITIES, INC.
October 20, 1992 - March 4, 1993
FIRST AMERICAN SECURITIES, INC.
June 4, 1992 - September 9, 1992
RHOADS FINANCIAL GROUP, INC.
October 21, 1991 - May 27, 1992
VANGUARD CAPITAL
June 6, 1991 - October 3, 1991
LUMIERE SECURITIES, INC.
January 3, 1991 - May 23, 1991
THE TRADING DESK, INC.
April 7, 1989 - August 10, 1989
ALLISON, ROSENBLUM & HANNAHS, INC.
October 26, 1988 - April 25, 1989
FIRST STATE INVESTMENTS, INC.
June 30, 1988 - October 12, 1988
GULFSTREAM FINANCIAL ASSOCIATES, INC.
August 22, 1987 - July 5, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
January 13, 1987 - June 18, 1987
TMA GOVERNMENT SECURITIES, LTD.
May 10, 1985 - November 14, 1986
FIRST INVESTMENT SECURITIES, INC.
March 26, 1985 - April 16, 1985
COLLINS SECURITIES CORPORATION
December 11, 1984 - March 15, 1985
UNITED CAPITAL CORPORATION
March 1, 1983 - August 5, 1985
H. BURCKHARDT & COMPANY, INC.
August 25, 1981 - January 7, 1983
CIBC WORLD MARKETS CORP.
June 27, 1980 - June 24, 1981
DONALD SHELDON & CO., INC.
September 24, 1979 - April 17, 1980
J. MILTON NEWTON, 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 5
Date: 10/15/1981
Interest Rate Options ExaminationCurrent Firm
MASTERSON MORELAND SAUER WHISMAN, INC.
CRD#: 16815 / SEC#: , 8-34568
Contact information
Documents
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.
