Casey L. Roberts
Professional summary
Casey Leo Roberts, who also goes by Casey L Roberts, is a registered financial professional currently at ETC BROKERAGE SERVICES, LLC located in Westlake, Ohio.
Casey is registered as a RR (Registered Representative) and started their career in finance in 1987. Casey has 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) - BD
Click below to view Casey Leo Roberts's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 27, 2020 - Present
ETC BROKERAGE SERVICES, LLC
Office #1: 1 Equity Way, Westlake, OH 44145September 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
(10/27/2020)
Exams
FINRA
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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