Kenneth E. Roberts
Professional summary
Kenneth Edward Roberts JR, who also goes by Kenneth Edward Roberts, Kenneth Roberts, is a registered financial professional currently at NYLIFE SECURITIES LLC located in White Plains, New York.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1985. Kenneth has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Edward Roberts JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2001 - Present
NYLIFE SECURITIES LLC
Office #1: 44 South Broadway, White Plains, NY 10601May 2, 2000 - June 13, 2001
PARK AVENUE SECURITIES LLC
March 19, 1997 - October 6, 1998
METROPOLITAN LIFE INSURANCE COMPANY
March 19, 1997 - October 6, 1998
MSI FINANCIAL SERVICES, INC.
January 4, 1995 - December 23, 1996
FINANCIAL SQUARE PARTNERS
April 30, 1991 - January 13, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
August 31, 1990 - April 30, 1991
MABON, NUGENT & CO.
October 29, 1987 - August 29, 1990
TD AMERITRADE, INC.
March 27, 1986 - April 29, 1987
HALPERT AND COMPANY, INC.
May 21, 1985 - August 15, 1985
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/30/2001)
Exams
FINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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