Bruce V. Roberts
Professional summary
Bruce Victor Roberts is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Bruce Victor Roberts's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 19, 1997 - Present
CAROLINA FINANCIAL SECURITIES, LLC
Office #1: 100 Elks Club Rd., Brevard, NC 28712July 31, 2019 - Present
CAROFIN, LLC
Office #1: 100 Elks Club Rd., Brevard, NC 28712Office #2: 100 Elks Club Road, Brevard, NC 28712March 30, 1987 - August 10, 1995
CREDIT SUISSE SECURITIES (USA) LLC
May 22, 1986 - April 7, 1987
DUPREE & COMPANY, 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
(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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
CAROFIN, LLC
CRD#: 298717 / SEC#: , 8-70224
Contact information
FINRA licenses (21 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 |
Red Flags
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