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Paul G. Roberts

Some features on this profile are disabled
CRD#: 1789229
PR

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.

Paul George Roberts was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1988. Paul had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 7, 2008 - December 22, 2015

DINOSAUR FINANCIAL GROUP, L.L.C

BD
CRD#: 104446
MANALAPAN, NJ
Past

March 6, 2006 - October 1, 2007

W.A. CAPITAL MARKETS

BD
CRD#: 6292
RED BANK, NJ
Past

October 18, 2002 - March 16, 2006

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

May 1, 2000 - October 20, 2004

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
NEW YORK, NY
Past

March 24, 2000 - May 3, 2000

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

September 30, 1998 - July 13, 1999

SUNCOAST CAPITAL GROUP, LTD.

BD
CRD#: 31214
FT. LAUDERDALE, FL
Past

December 23, 1996 - September 23, 1998

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

July 15, 1996 - January 7, 1997

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY
Past

May 28, 1991 - January 7, 1997

GARBAN CAPITAL MARKETS LLC

BD
CRD#: 19738
JERSEY CITY, NJ
Past

May 28, 1991 - January 7, 1997

INTERCAPITAL SECURITIES LLC

BD
CRD#: 20004
JERSEY CITY, NJ
Past

February 15, 1991 - May 20, 1991

HILLIARD FARBER SECURITIES CORP.

BD
CRD#: 18504
NEW YORK, NY
Past

February 15, 1991 - May 20, 1991

DEALERWEB LLC

BD
CRD#: 19662
JERSEY CITY, NJ
Past

January 1, 1988 - September 20, 1989

TULLETT & TOKYO SECURITIES, INC.

BD
CRD#: 19595
NEW YORK, NY

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: 7/17/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/22/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/14/1991
General Securities Representative Examination

Current Firm

DF
DINOSAUR FINANCIAL GROUP, L.L.C
APB FINANCIAL GROUP | EAGLE BROKERS | DINOSAUR SECURITIES, L.L.C. | DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446 / SEC#: , 8-52908

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information

Main Address
33 Whitehall St 1102, New York, NY 10004
Mailing Address
33 Whitehall St 1102, New York, NY 10004
Phone number
(212) 448-9944
Established
Delaware since 05/11/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DINOSAUR GROUP HOLDINGS, LLCPARENT
GIORGIO, ANTHONY JOSEPHCCO/AMLCO5489336
GROSSMAN, GLENN ANDREWPRESIDENT/CEO/MANAGING MEMBER1657276
SULEYMANOV, ZAKHARCFO/FINOP4927317

Disclosures

Regulatory Event5
Arbitration1

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

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

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