William Frederick Roberts
Professional Summary
William Frederick Roberts is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Rochester, New York. William is registered as a RR (Registered Representative) and started their career in finance in 1983. William has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 39 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
Contact Information
Main Address
400 West Metro Park, Rochester, NY 14623Mailing Address
400 West Metro Park, Rochester, NY 14623Phone Number
(585) 424-5672Established
New York since 04/04/1983Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
78SEC notice filing (46 States and Territories)
Registered to provide investment advisory services in 46 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 46 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory Assets Under Management
Total Number of Accounts
1,053AUM (Assets Under Management)
$424,939,705Disclosures
Regulatory Event
2Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
State Registrations and Notice Filings
(1/1/1989)
(4/24/2026)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Feb 1983About the Series 22 examSeries 39 — Direct Participation Programs Principal Examination
Passed Mar 1983About the Series 39 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view William Frederick Roberts's CRS (Customer Relationship Summary).
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