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MR

Michael O. Roberts

Some features on this profile are disabled
CRD#: 1898785
MR

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.

Michael Ozell Roberts, who also goes by Michael O Roberts, Mike Roberts, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 7 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael O Roberts | Mike Roberts

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

February 22, 2011 - January 18, 2012

ALLIED BEACON PARTNERS, INC.

BD
CRD#: 46227
GREELEY, CO
Past

February 19, 2010 - February 22, 2011

AMERICAN BEACON PARTNERS, INC.

BD
CRD#: 15791
GREELEY, CO
Past

January 2, 2001 - November 16, 2009

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
GREELEY, CO
Past

August 5, 1998 - January 3, 2001

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
HORSHAM, PA
Past

April 2, 1997 - August 5, 1998

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

July 21, 1989 - April 3, 1997

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

July 21, 1989 - April 3, 1997

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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: 3/9/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 7/20/1989
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AB
ALLIED BEACON PARTNERS, INC.
ALLIED BEACON PARTNERS, INC. | WATERFORD INVESTOR SERVICES, INC. | ALLIED BEACON PARTNERS, INC. ADVISORY

CRD#: 46227 / SEC#: , 8-51357

BD
Terminated by SEC on 11/25/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 08/03/1998
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BEACON AQUISITION PARTNERS, INCSHAREHOLDER
MATHER, ROBERT PHILIPPRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY1764918

Disclosures

Regulatory Event6
Arbitration2

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

ALLIED BEACON PARTNERS, INC.

CRD#: 46227

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