Steven A. Roberts
Professional summary
Steven Andrew Roberts was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Steven had worked at 6 firms, which includes CUMBERLAND BROKERAGE CORPORATION, AEGIS CAPITAL CORP., JOSEPH CHARLES & ASSOC. INC., JW GENESIS CLEARING CORP., DOMINICK & DICKERMAN LLC, THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 1995 - July 13, 1995
CUMBERLAND BROKERAGE CORPORATION
February 3, 1994 - November 30, 1994
AEGIS CAPITAL CORP.
July 21, 1993 - January 27, 1994
JOSEPH CHARLES & ASSOC., INC.
January 17, 1991 - July 26, 1993
JW GENESIS CLEARING CORP.
September 13, 1990 - January 18, 1991
DOMINICK & DICKERMAN LLC
February 14, 1989 - September 17, 1990
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
CUMBERLAND BROKERAGE CORPORATION
CRD#: 13409 / SEC#: , 8-42993
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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