Stephen E. 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.
Stephen Edward Roberts was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1990. Stephen had worked at 5 firms and has passed the Series 63, Series 16 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
January 8, 2015 - January 30, 2018
NORTHPOINTE CAPITAL LLC
April 6, 2010 - December 31, 2014
NORTHPOINTE CAPITAL LLC
February 17, 1998 - February 8, 2000
LOOMIS SAYLES DISTRIBUTORS, L.P.
March 14, 1996 - December 20, 1996
NATIXIS DISTRIBUTION, LLC
September 1, 1992 - February 21, 1996
RONEY & CO. L.L.C.
September 17, 1990 - September 15, 1992
AMERIPRISE ADVISOR SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NORTHPOINTE CAPITAL LLC
CRD#: 109383 / SEC#: 801-57064
Contact information
Red Flags
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