Karl 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.
Karl Eton Roberts was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1994. Karl had worked at 5 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 1998 - October 5, 1998
H.J. MEYERS & CO., INC.
August 15, 1997 - May 19, 1998
FOSTER JEFFRIES SECURITIES, LLC
May 28, 1997 - August 12, 1997
JOSEPH DILLON & COMPANY INC.
January 17, 1996 - May 13, 1997
DUKE & CO., INC.
April 7, 1994 - January 31, 1996
STRATTON OAKMONT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 4/5/1994
Corporate Securities Limited Representative ExaminationCurrent Firm
H.J. MEYERS & CO., INC.
CRD#: 15609 / SEC#: , 8-32427
Contact information
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.
