Michael O. Roberts
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2011 - January 18, 2012
ALLIED BEACON PARTNERS, INC.
February 19, 2010 - February 22, 2011
AMERICAN BEACON PARTNERS, INC.
January 2, 2001 - November 16, 2009
QUESTAR CAPITAL CORPORATION
August 5, 1998 - January 3, 2001
HORNOR, TOWNSEND & KENT, LLC
April 2, 1997 - August 5, 1998
NATHAN & LEWIS SECURITIES, INC.
July 21, 1989 - April 3, 1997
METROPOLITAN LIFE INSURANCE COMPANY
July 21, 1989 - April 3, 1997
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALLIED BEACON PARTNERS, INC.
CRD#: 46227 / SEC#: , 8-51357
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEACON AQUISITION PARTNERS, INC | SHAREHOLDER | |
| MATHER, ROBERT PHILIP | PRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY | 1764918 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
