John L. 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.
John Louis Roberts, who also goes by John L Roberts, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 10 firms and has passed the Series 63, SIE 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
October 24, 2019 - July 20, 2020
D. BORAL CAPITAL
September 10, 2019 - October 29, 2019
CABOT LODGE SECURITIES LLC
January 12, 2015 - September 28, 2019
IFS SECURITIES
June 22, 2012 - January 20, 2015
GIRARD SECURITIES, INC.
September 14, 2007 - June 21, 2012
BROOKSTONE SECURITIES, INC.
October 12, 2006 - June 5, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 18, 2004 - September 28, 2006
MORGAN KEEGAN & COMPANY, LLC
November 25, 1998 - September 28, 2006
MORGAN KEEGAN & COMPANY, LLC
September 23, 1994 - December 9, 1998
UBS FINANCIAL SERVICES INC.
September 19, 1986 - October 3, 1994
J.C. BRADFORD & CO.
February 28, 1984 - October 14, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
D. BORAL CAPITAL
CRD#: 103792 / SEC#: , 8-52280
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DBCH PARTNERS LLC | SHAREHOLDER | |
| AGRAWAL, SHARAD | CHIEF TECHNOLOGY OFFICER | 5115964 |
| BORAL, DAVID WALTER | CHIEF EXECUTIVE OFFICER | 5340753 |
| MERLIN, JARED | CHIEF COMPLIANCE OFFICER | 4222427 |
| WHALEN, RYAN JAMES | GENERAL COUNSEL | 7457347 |
| WIEDERLIGHT, PHILIP | CHIEF OPERATING OFFICER | 5856024 |
| WILDER, BRADLEY STEPHEN | FINOP | 7497819 |
Disclosures
| Regulatory Event | 2 |
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.
