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Todd E. Roberti

Some features on this profile are disabled
CRD#: 1693023
TR

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

Are you a "fiduciary"?
No

Aliases

Todd E Roberti | Todd F Roberti

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 25, 1999 - April 7, 1999

WILLIAM SCOTT & CO. L.L.C.

BD
CRD#: 14979
UNION, NJ
Past

March 4, 1994 - October 26, 1998

LT LAWRENCE & CO., INC.

BD
CRD#: 31956
NEW YORK, NY
Past

May 13, 1993 - April 14, 1994

CORTLANDT CAPITAL CORPORATION

BD
CRD#: 25152
NEW YORK CITY, NY
Past

February 26, 1991 - May 27, 1993

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

June 30, 1988 - March 27, 1991

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
NEW YORK, NY
Past

July 27, 1987 - July 5, 1988

F.D. ROBERTS SECURITIES, INC.

BD
CRD#: 693

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/5/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/26/1993
General Securities Principal Examination

Current Firm

WS
WILLIAM SCOTT & CO. L.L.C.
RUMSON FINANCIAL SERVICES | WILLIAM SCOTT & CO. L.L.C. | WILLIAM SCOTT & CO. L.L.C | RUMSON SECURITIES

CRD#: 14979 / SEC#: , 8-32265

BD
Terminated by SEC on 11/29/2005
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 02/02/1995
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WILLIAM SCOTT HOLDINGS, LLCOWNER
BOWLEY, STEVEN ALBERTPRESIDENT, CHIEF COMPLIANCE OFFICER, CROP, SROP, BRANCH MANAGER2893106
GLODEK, JOSEPH SCOTTMEMBER OF THE BOARD2024287
GLODEK, JOSEPH WILLIAMMEMBER OF THE BOARD223163
GLODEK, WALTER EDWARDCHIEF FINANCIAL OFFICER4256533

Disclosures

Regulatory Event4
Arbitration3

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.

Company Information

WILLIAM SCOTT & CO. L.L.C.

CRD#: 14979

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