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Detailed Report
Robert Gail Dull
ROB DULL, ROBERT G DULL, ROBERT GAIL DULL, ROBERT DULL
CRD#: 1821389
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Previous Investment Adviser
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Previous Broker
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
1985199019952000200520102015IASECURITIES AMERICA ADVISORS, INC. (CRD# 110518)2014 - 2015 (1 year)IASUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2012 - 2014 (1 year)IAFIRST CITIZENS INVESTOR SERVIC... (CRD# 44430)2010 - 2012 (1 year)IAAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2007 - 2009 (1 year)IAFIRST CITIZENS CAPITAL MANAGEM... (CRD# 140777)2006 - 2007 (<1 year)IAFIRST CITIZENS INVESTOR SERVIC... (CRD# 44430)2001 - 2006 (5 years)
Disclosure(s)
View By:
6/28/2016
Financial
Final
1/6/2016
Regulatory
Final
3/3/2009
Customer Dispute
Denied
2/11/2009
Customer Dispute
Denied
1/22/1984
Criminal
Final Disposition
Previous Registration(s)
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 06/13/2014 - 09/09/2015 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) SIMPSONVILLE, SC
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 09/03/2012 - 06/23/2014 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) GREENVILLE, SC
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 10/08/2010 - 08/22/2012 FIRST CITIZENS INVESTOR SERVICES, INC. (CRD#:44430) WAYNESVILLE, NC
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 08/02/2007 - 01/07/2009 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) GREENVILLE, SC
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 11/01/2006 - 08/01/2007 FIRST CITIZENS CAPITAL MANAGEMENT, INC. (CRD#:140777) RALEIGH, NC
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 08/01/2001 - 11/01/2006 FIRST CITIZENS INVESTOR SERVICES, INC. (CRD#:44430) SPARTANBURG, SC
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.