Doris J. 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.
Doris Jean Roberts, who also goes by Doris Jean Roberts - Everett, Doris Jean Roberts - Piggee, was a registered financial professional .
Doris is a previously registered financial professional and started their career in finance in 1995. Doris had worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6, Series 27 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2011 - April 9, 2026
CH DOUGLAS & GRAY WEALTH MANAGEMENT
May 3, 2011 - December 28, 2012
RED WING CAPITAL, LLC
October 6, 2009 - April 1, 2010
NEW ENGLAND SECURITIES
September 4, 2009 - April 1, 2010
NEW ENGLAND SECURITIES
April 24, 1995 - December 7, 2000
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CH DOUGLAS & GRAY WEALTH MANAGEMENT
CRD#: 142352 / SEC#: 801-121265
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
CH DOUGLAS & GRAY WEALTH MANAGEMENT
CRD#: 142352 / SEC#: 801-121265
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 523 |
| AUM (Assets Under Management) | $ 187,193,987 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
