Roberta F. Woronow
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.
Roberta Frances Woronow, who also goes by Bobbie Woronow, was a registered financial professional .
Roberta is a previously registered financial professional and started their career in finance in 1983. Roberta had worked at 5 firms and has passed the Series 63, 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
January 28, 2005 - July 2, 2014
UBS FUND SERVICES (USA) LLC
January 22, 2001 - December 17, 2004
UNDERWRITERS EQUITY CORPORATION
July 24, 1996 - January 4, 2001
TNK ASSOCIATES, INC.
November 24, 1989 - December 11, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 19, 1989 - January 4, 1999
OSAIC WEALTH, INC.
October 20, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
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
UBS FUND SERVICES (USA) LLC
CRD#: 41848 / SEC#: , 8-49596
Contact information
FINRA licenses (52 States and Territories)
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.
