John A. 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.
John Alexander Roberts, who also goes by John Jr, John Alexander Roberts Jr, Johnny Alexander Roberts, Johnny Roberts Jr, Johnny Roberts, Jr Roberts, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 7 firms and has passed the Series 63, SIE, 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
May 1, 2012 - November 12, 2015
CREDIT AGRICOLE SECURITIES (USA) INC.
November 19, 1996 - February 11, 2011
BARCLAYS CAPITAL INC.
December 8, 1993 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
December 8, 1993 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
December 8, 1993 - November 27, 1996
LEHMAN BROTHERS INC.
December 16, 1991 - June 7, 1993
DISCOUNT CORPORATION OF NEW YORK
September 24, 1986 - July 9, 1992
JPMSI
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
CREDIT AGRICOLE SECURITIES (USA) INC.
CRD#: 190 / SEC#: , 8-13753
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDIT AGRICOLE GLOBAL PARTNERS INC. ("CAGPI") | SHAREHOLDER | |
| ARNAL, CELINE | DIRECTOR | 7247072 |
| GEROLD, MARIA TERESA | CFO | 5967881 |
| HETIER, FRANCOIS-EDOUARD MARIE MARC | DIRECTOR | 7817148 |
| KURZ, WILLIAM FRANK | MEMBER OF THE BOARD OF DIRECTORS AND COO | 7602164 |
| PUBLIE, STEPHANE | INTERIM CEO AND MEMBER OF THE BOARD OF DIRECTORS | 5978052 |
| YOUN, EDWARD KYUNG-HO | CHIEF COMPLIANCE OFFICER | 6723958 |
| ZAFAR, KASHIF | MANAGING DIRECTOR | 2666642 |
Disclosures
| Regulatory Event | 18 |
Red Flags
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