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Wilbert K. Roberts

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CRD#: 1745199
WR

Professional summary

Wilbert Kneeland Roberts was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Wilbert is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Wilbert had worked at 5 firms, which includes INVESTACORP INC., OSAIC FS INC., POLARIS FINANCIAL SERVICES INC., MUTUAL SERVICE CORPORATION, FORESTERS FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

W Kneeland Robert

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

October 10, 2001 - December 31, 2005

INVESTACORP, INC.

BD
CRD#: 7684
ATLANTA, GA
Past

July 8, 2000 - October 16, 2001

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

January 23, 1995 - July 8, 2000

POLARIS FINANCIAL SERVICES, INC.

BD
CRD#: 14521
CONCORD, NH
Past

July 7, 1992 - December 31, 1994

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

September 24, 1987 - June 2, 1992

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ

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: 10/16/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/22/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/14/1990
Investment Company Products/Variable Contracts Principal Examination

Current Firm

II
INVESTACORP, INC.
ARCHER, ZWIGARD & ASSOCIATES-THE INVESTACORP GROUP, INC. | INVESTACORP, INC.

CRD#: 7684 / SEC#: , 8-22598

BD
Terminated by SEC on 09/29/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 01/26/1978
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ADVISOR GROUP HOLDINGS, INC.SHAREHOLDER
ARNEAUD, MARCUS ANTHONYCHIEF COMPLIANCE OFFICER2858859
BLANCATO, PHILIP SALVATOREDIRECTOR2122221
CHANDER, RANAEXECUTIVE VICE PRESIDENT, CIO4853245
DUDAS, STEPHEN STANLEYCFO4820047
FARRELL, PATRICK CHRISTOPHERDIRECTOR,PRESIDENT, CEO1454441
GIOVANNIELLO, JOSEPH JRDIRECTOR, ASSISTANT SECRETARY3086071
MCKENNA, NINASECRETARY6302448
PRICE, JAMES DALECHAIRMAN1243224
SCHLUETER, MATTHEW ADAMEXECUTIVE VICE PRESIDENT, DIRECTOR2627931
TARENTINO, MELISSAGENERAL COUNSEL4470836

Disclosures

Regulatory Event5
Arbitration3
Bond2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

INVESTACORP, INC.

CRD#: 7684

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