Roberto Alford
Professional summary
Roberto Alford was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Roberto is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Roberto had worked at 2 firms, which includes NATIONAL SECURITIES CORPORATION, CONTINENTAL BROKER-DEALER CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2004 - May 24, 2004
NATIONAL SECURITIES CORPORATION
March 7, 1994 - January 29, 2004
CONTINENTAL BROKER-DEALER CORP.
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
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