Ralston P. Roberts

VELOCITY CLEARING

New York, NY 10038

Some features on this profile are disabled

CRD#: 2526147

Professional summary

Ralston Permar Roberts, who also goes by Ralston Permar Roberts Jr, is a registered financial professional currently at VELOCITY CLEARING, LLC located in New York, New York and TOR BROKERAGE LLC located in North Bergen, New Jersey.

Ralston is registered as a RR (Registered Representative) and started their career in finance in 1998. Ralston has worked at 10 firms and has passed the Series 63, Series 57TO, Series 82TO, SIE, Series 7, Series 6, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ralston Permar Roberts Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ralston Permar Roberts's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 24, 2023 - Present

VELOCITY CLEARING, LLC

Office #1: 199 Water Street 17th Floor, New York, NY 10038

CRD#: 126588

New York, NY

Current

May 24, 2024 - Present

TOR BROKERAGE LLC

Office #1: 9019 Old River Road 2nd Floor, North Bergen, NJ 07047

CRD#: 135274

NORTH BERGEN, NJ

Past

November 13, 2018 - April 19, 2023

INSTINET, LLC

CRD#: 7897

NEW YORK, NY

Past

August 18, 2015 - November 27, 2018

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

September 6, 2011 - December 31, 2013

SUNGARD INSTITUTIONAL BROKERAGE INC.

CRD#: 8509

NEW YORK, NY

Past

August 5, 2011 - January 3, 2012

FOX RIVER EXECUTION TECHNOLOGY, LLC

CRD#: 133549

GENEVA, IL

Past

May 6, 2009 - July 9, 2015

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

NEW YORK, NY

Past

August 28, 2002 - October 18, 2005

WELLS FARGO SECURITIES, LLC

CRD#: 7665

SAN FRANCISCO, CA

Past

April 12, 2000 - September 17, 2002

ROBERTSON STEPHENS, INC.

CRD#: 41271

SAN FRANCISCO, CA

Past

November 10, 1998 - March 31, 2000

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/24/2024)

Connecticut
(4/24/2023)

Florida
(4/24/2023)

New Jersey
(4/24/2023)

New York
(4/24/2023)

Texas
(4/24/2023)

Exams

State Security Law Exam

Series 63

Date: 10/30/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 8/21/2023

Securities Trader Exam

General Industry/Product Exam

Series 82TO

Date: 4/24/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/5/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/9/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 6/27/2011

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 12/16/2009

General Securities Principal Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

MEMX LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

TOR BROKERAGE LLC

ELITE ACCESS PARTNERS | TOR BROKERAGE LLC

CRD#: 135274 / SEC#: , 8-66903

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

9019 Old River Road 2nd Floor, North Bergen, NJ 07047

Mailing Address

9019 Old River Road 2nd Floor, North Bergen, NJ 07047

Phone number

(201) 941-0002

Established

Delaware since 02/09/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
VCT HOLDINGS LLC	MEMBER
VCT HOLDINGS II LLC	MEMBER
APPELSON, STUART DAVID	FINOP	2176520
KRKUTI, BESART	CHIEF FINANCIAL OFFICER	7318260
SANDOR, VICTOR EROL	MANAGER, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER	2437119
SCHAEFFER, BRIAN KEITH	CEO	3063403

Disclosures

Regulatory Event

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ralston P. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ralston Permar Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOR BROKERAGE LLC

INSTINET, LLC

GOLDMAN SACHS & CO. LLC

SUNGARD INSTITUTIONAL BROKERAGE INC.

FOX RIVER EXECUTION TECHNOLOGY, LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

WELLS FARGO SECURITIES, LLC

ROBERTSON STEPHENS, INC.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/30/2008

Series 57TO

Date: 8/21/2023

Series 82TO

Date: 4/24/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/5/2009

Series 6

Date: 11/9/1998

Series 9

Date: 6/27/2011

Series 24

Date: 12/16/2009

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

MEMX LLC

MIAX PEARL, LLC

NYSE Arca, Inc.

Nasdaq BX, Inc.

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

TOR BROKERAGE LLC

Contact information

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TOR BROKERAGE LLC

TRUST BUT VERIFY

Similar Advisors