Dennis H. 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.
Dennis Hugh Roberts was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1990. Dennis had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2011 - February 3, 2017
BFP SECURITIES, LLC
August 11, 2004 - July 8, 2009
AMERICAN GENERAL EQUITY SERVICES CORPORATION
August 18, 1994 - May 26, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
October 2, 1992 - December 21, 1995
PRUCO SECURITIES, LLC.
August 14, 1990 - July 7, 1992
NEW ENGLAND SECURITIES
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
Current Firm
BFP SECURITIES, LLC
CRD#: 44731 / SEC#: , 8-50798
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENEFIT FINANCE PARTNERS, LLC | OWNER | |
| DOHERTY, ERIN E | CCO | 4576409 |
Red Flags
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