Colleen J. Roarty
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.
Colleen Joan Roarty was a registered financial professional .
Colleen is a previously registered financial professional and started their career in finance in 1984. Colleen had worked at 5 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
January 9, 1986 - September 18, 1986
F.D. ROBERTS SECURITIES, INC.
October 15, 1985 - December 3, 1985
EQUITABLE SECURITIES OF NEW YORK,INC.
November 30, 1984 - October 28, 1985
BROOKS WEINGER ROBBINS & LEEDS INC.
April 18, 1984 - November 15, 1984
WALTER CAPITAL CORPORATION
March 22, 1984 - April 30, 1984
MONVEST SECURITIES, 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
Current Firm
F.D. ROBERTS SECURITIES, INC.
CRD#: 693 / SEC#: , 8-31195
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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