Roberta L. Siewert
Professional summary
Roberta Lynn Siewert, who also goes by Roberta Lynn Siewert Ms., Roberta Siewert, is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in Chicago, Illinois.
Roberta is registered as a RR (Registered Representative) and started their career in finance in 2008. Roberta has worked at 7 firms and has passed the SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roberta Lynn Siewert's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 22, 2022 - Present
TRADESTATION SECURITIES, INC.
Office #1: 120 South Riverside Plaza Suite 1650, Chicago, IL 60606September 1, 2021 - December 16, 2021
LPL FINANCIAL LLC
February 15, 2018 - June 24, 2020
DELOITTE CORPORATE FINANCE LLC
November 16, 2012 - November 2, 2017
ABN AMRO CLEARING USA LLC
June 19, 2012 - November 5, 2012
OPTIONSXPRESS, INC.
January 18, 2011 - November 5, 2012
BROKERSXPRESS LLC
May 16, 2008 - November 22, 2010
TERRA NOVA FINANCIAL, LLC
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
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
Red Flags
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