Mark W. 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.
Mark W Roberts, who also goes by Mark William Roberts, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 2 firms and has passed the Series 63, Series 6TO, SIE and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 1990 - July 20, 1992
HRH SECURITIES, INC.
May 21, 1986 - May 27, 1986
ERIN 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
Series 6TO
Date: 9/30/2021
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
HRH SECURITIES, INC.
CRD#: 25614 / SEC#: , 8-42541
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
