Michael S. 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.
Michael Stephen Roberts, who also goes by Michael Steven Roberts, Mike Roberts, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 14 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2003 - December 19, 2006
ELECTRONIC ACCESS DIRECT, INC.
October 25, 2002 - December 31, 2002
INVESTORS CAPITAL CORP.
December 22, 2000 - October 18, 2002
NATIONAL SECURITIES CORPORATION
November 20, 2000 - December 13, 2000
STERLING FINANCIAL INVESTMENT GROUP, INC.
August 24, 2000 - November 20, 2000
JOSEPH CHARLES & ASSOC., INC.
December 22, 1998 - September 18, 2000
THE AGEAN GROUP, INC
November 14, 1997 - November 6, 1998
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 12, 1994 - March 12, 1998
JWGENESIS SECURITIES, INC.
March 31, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
January 14, 1992 - March 15, 1994
H.J. MEYERS & CO., INC.
August 22, 1990 - January 31, 1991
KOCHCAPITAL
June 17, 1988 - September 5, 1990
G. K. SCOTT & CO., INC.
October 16, 1987 - June 21, 1988
BRENNAN ROSS SECURITIES, INC.
September 5, 1985 - November 17, 1987
THE STUART-JAMES COMPANY, 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
ELECTRONIC ACCESS DIRECT, INC.
CRD#: 36975 / SEC#: , 8-47549
Contact information
Documents
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.
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