Timothy M. 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.
Timothy Michael Roberts was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1998. Timothy had worked at 4 firms and has passed the Series 65, Series 66, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2012 - October 23, 2012
FINANCIAL WEST GROUP
March 8, 2012 - October 23, 2012
FINANCIAL WEST GROUP
May 6, 2005 - December 31, 2011
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 13, 1999 - December 31, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 2, 1998 - October 4, 2001
ENERIC FINANCIAL SERVICES, INC.
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
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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