Rick E. Roberts
Professional summary
Rick Erroll Roberts is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
Rick is registered as a RR (Registered Representative) and started their career in finance in 1998. Rick has worked at 6 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rick Erroll Roberts's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2018 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901July 14, 2016 - September 7, 2016
FBL MARKETING SERVICES, LLC
February 12, 2008 - December 31, 2015
IRON STREET RESEARCH, INC.
May 27, 2004 - December 28, 2015
NEXT FINANCIAL GROUP, INC.
June 8, 2000 - May 27, 2004
LPL FINANCIAL LLC
October 21, 1998 - August 19, 1999
WADDELL & REED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/2/2018)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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