Casey L. 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.
Casey Leo Roberts, who also goes by Casey L Roberts, was a registered financial professional .
Casey is a previously registered financial professional and started their career in finance in 1987. Casey had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
October 27, 2020 - May 29, 2026
ETC BROKERAGE SERVICES, LLC
September 9, 2013 - October 29, 2019
CITIZENS SECURITIES, INC.
January 18, 2013 - October 29, 2019
CITIZENS SECURITIES, INC.
May 27, 2008 - December 22, 2011
LPL FINANCIAL LLC
March 21, 2000 - May 27, 2008
IFMG SECURITIES, INC.
November 1, 1994 - November 18, 1999
BANKBOSTON INVESTOR SERVICES, INC.
June 2, 1993 - November 8, 1994
SEI INVESTMENTS DISTRIBUTION CO.
December 15, 1987 - May 18, 1990
FIDELITY DISTRIBUTORS CORPORATION
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
ETC BROKERAGE SERVICES, LLC
CRD#: 145276 / SEC#: , 8-67719
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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