Mark A. 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.
Mark Anthony Roberts was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1992. Mark had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 87, Series 62, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2017 - May 3, 2018
ESPOSITO SECURITIES, LLC
July 1, 2003 - March 10, 2005
WELLS FARGO SECURITIES, LLC
February 17, 1998 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1997 - February 27, 1998
BANC OF AMERICA SECURITIES LLC
June 25, 1996 - October 1, 1997
MONTGOMERY SECURITIES
July 15, 1992 - March 1, 1996
ALEX. BROWN & SONS INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 7/13/1992
Corporate Securities Limited Representative ExaminationCurrent Firm
ESPOSITO SECURITIES, LLC
CRD#: 143710 / SEC#: , 8-67596
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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