Elaine K. 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.
Elaine Kells Roberts, who also goes by Eliane Kells Roberts, was a registered financial professional .
Elaine is a previously registered financial professional and started their career in finance in 1983. Elaine had worked at 5 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 1997 - January 1, 1999
FIRST OF MICHIGAN CORPORATION
June 13, 1995 - August 4, 2000
FREEDOM INVESTMENTS, INC.
April 23, 1991 - December 31, 1991
W.H. NEWBOLD'S SON & CO., INC.
April 12, 1988 - May 8, 2018
OPPENHEIMER & CO. INC.
April 1, 1988 - April 12, 1988
FAHNESTOCK INTERNATIONAL INC.
November 25, 1983 - April 1, 1988
OPPENHEIMER & CO. 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
FIRST OF MICHIGAN CORPORATION
CRD#: 311 / SEC#: , 8-17209
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
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.
