Roberta E. Hurst
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.
Roberta E Hurst, who also goes by Roberta Elizabeth Brockmyre, was a registered financial professional .
Roberta is a previously registered financial professional and started their career in finance in 1995. Roberta had worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2017 - October 31, 2021
OBERON SECURITIES, LLC
July 22, 2016 - August 9, 2021
KEMA PARTNERS LLC
October 10, 2005 - February 29, 2008
UBS FINANCIAL SERVICES INC.
September 8, 2005 - February 29, 2008
UBS FINANCIAL SERVICES INC.
October 8, 1997 - May 19, 1999
PUNK, ZIEGEL & COMPANY, L.P.
June 30, 1995 - March 1, 1996
MORGAN STANLEY DW 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
OBERON SECURITIES, LLC
CRD#: 132598 / SEC#: , 8-66607
Contact information
FINRA licenses (22 States and Territories)
Documents
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.
