Jerry L. Roberts
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.
Jerry Lynn Roberts was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1983. Jerry had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2011 - May 11, 2012
MOWERY CAPITAL MANAGEMENT, LLC
August 22, 2007 - November 29, 2010
QA3 FINANCIAL CORP.
August 21, 2007 - November 29, 2010
QA3 FINANCIAL LLC
May 30, 2003 - December 15, 2005
ONEAMERICA SECURITIES, INC.
May 21, 2003 - December 15, 2005
ONEAMERICA SECURITIES, INC.
February 20, 2001 - June 18, 2003
PARK AVENUE SECURITIES LLC
February 20, 2001 - June 18, 2003
PARK AVENUE SECURITIES LLC
June 13, 1996 - September 7, 2000
PRUCO SECURITIES, LLC.
September 13, 1994 - November 9, 1995
NYLIFE SECURITIES LLC
March 2, 1983 - March 23, 1993
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MOWERY CAPITAL MANAGEMENT, LLC
CRD#: 130761 / SEC#: 801-69590
Contact information
Regulatory assets under management
| Total Number of Accounts | 69 |
| AUM (Assets Under Management) | $ 37,028,055 |
Red Flags
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