Todd E. Roberti
Professional summary
Todd Edward Roberti was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Todd is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Todd had worked at 6 firms, which includes WILLIAM SCOTT & CO. L.L.C., LT LAWRENCE & CO. INC., CORTLANDT CAPITAL CORPORATION, GKN SECURITIES CORP., D. H. BLAIR & CO. INC., F.D. ROBERTS SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 1999 - April 7, 1999
WILLIAM SCOTT & CO. L.L.C.
March 4, 1994 - October 26, 1998
LT LAWRENCE & CO., INC.
May 13, 1993 - April 14, 1994
CORTLANDT CAPITAL CORPORATION
February 26, 1991 - May 27, 1993
GKN SECURITIES CORP.
June 30, 1988 - March 27, 1991
D. H. BLAIR & CO., INC.
July 27, 1987 - July 5, 1988
F.D. ROBERTS SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
WILLIAM SCOTT & CO. L.L.C.
CRD#: 14979 / SEC#: , 8-32265
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
Red Flags
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