Walter S. 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.
Walter Stewart Roberts III, who also goes by Stewart Roberts, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1985. Walter had worked at 5 firms and has passed the Series 63, Series 55, Series 5, Series 15, Series 7, Series 4, Series 28, Series 24, Series 27 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 1999 - February 25, 2004
MADISON CAPITAL ASSOCIATES, LLC
October 17, 1996 - June 3, 1997
PETERS SECURITIES CO., LP
May 13, 1993 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
May 13, 1993 - January 27, 1995
LEHMAN GOVERNMENT SECURITIES INC.
May 13, 1993 - January 27, 1995
LEHMAN BROTHERS INC.
May 20, 1985 - March 18, 1993
PETERS SECURITIES CO., LP
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: 7/28/1999
Limited Representative-Equity Trader ExamSeries 5
Date: 3/21/1985
Interest Rate Options ExaminationSeries 15
Date: 3/7/1985
Foreign Currency Options ExaminationSeries 28
Date: 8/13/1999
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MADISON CAPITAL ASSOCIATES, LLC
CRD#: 43040 / SEC#: , 8-50135
Contact information
Documents
Red Flags
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