Bruce Victor Roberts
Professional Summary
Bruce Victor Roberts is a registered financial advisor currently at CAROLINA FINANCIAL SECURITIES, LLC located in Brevard, North Carolina and CAROFIN, LLC located in Brevard, North Carolina. Bruce is registered as a RR (Registered Representative) and started their career in finance in 1986. Bruce has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
CAROFIN, LLC
Contact Information
Main Address
100 Elks Club Rd., Brevard, NC 28712Mailing Address
100 Elks Club Rd., Brevard, NC 28712Phone Number
(828) 393-0088Established
North Carolina since 05/03/2018Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (21 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAROLINA FINANCIAL SECURITIES, LLC | MEMBER - COMMON | 41970 |
| CAROFIN HOLDINGS, INC. | MEMBER - COMMON | — |
| DRAKE, PHILIP CALVIN | MEMBER - PREFERRED | — |
| STAR, JOSHUA S. | MEMBER - PREFERRED | 3244678 |
| GILMORE, NICHOLAS CRAIG | CTO, COO-CFO AND FINOP | 5181593 |
| MILHAUPT, PETER STUART | MANAGER | 728310 |
| ROBERTS, BRUCE VICTOR | CCO | 1489110 |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(2/12/1999)
(2/20/1997)
(2/20/1997)
(2/4/2008)
(8/28/1998)
(8/6/1998)
(2/16/1999)
(6/29/2007)
(8/11/1998)
(2/19/1997)
(2/5/1999)
(1/10/1997)
(2/20/1997)
(9/1/1998)
(4/7/2000)
(4/5/2000)
(5/14/1997)
(10/13/2023)
(3/27/2000)
(2/28/2008)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Bruce Victor Roberts's CRS (Customer Relationship Summary).
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