Althea R. 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.
Althea Rae Roberts was a registered financial professional .
Althea is a previously registered financial professional and started their career in finance in 1983. Althea had worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 51, Series 27, Series 28, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2008 - December 31, 2010
GEARY ADVISORS, LLC
January 9, 2002 - July 28, 2010
GEARY SECURITIES, INC.
June 1, 1995 - April 30, 2012
GEARY SECURITIES, INC.
November 11, 1986 - June 1, 1995
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 25, 1986 - October 28, 1986
UNITED SECURITIES BROKERS, INC.
February 24, 1984 - June 1, 1995
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 21, 1983 - February 3, 1984
CITIGROUP GLOBAL MARKETS INC.
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 28
Date: 9/4/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 7/31/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current firm
No current employment
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.
