Carl C. Roba
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.
Carl Christian Roba was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1983. Carl had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2002 - November 13, 2002
ALAMO CAPITAL
July 2, 2001 - November 8, 2001
BROOKSTREET SECURITIES CORPORATION
April 20, 2000 - June 6, 2001
PACIFIC GENESIS GROUP, INC.
February 9, 1995 - August 2, 2000
MORLEY SECURITIES, INC.
November 20, 1991 - April 27, 1995
SOUTHERN CALIFORNIA SECURITIES, INC.
November 21, 1988 - March 14, 1991
UBS FINANCIAL SERVICES INC.
September 23, 1983 - December 6, 1988
PRUDENTIAL EQUITY GROUP, LLC
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
ALAMO CAPITAL
CRD#: 26193 / SEC#: , 8-42293
Contact information
FINRA licenses (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 81,684,700 |
Disclosures
| Regulatory Event | 3 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
