Cleston 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.
Cleston Roberts, who also goes by Cles Roberts II, Cleston Roberts Ii, Cleston Roberts, was a registered financial professional .
Cleston is a previously registered financial professional and started their career in finance in 1999. Cleston had worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2022 - March 15, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 16, 2022 - March 15, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 2018 - July 12, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 28, 2016 - July 13, 2018
STRATEGIC ADVISERS LLC
September 14, 2016 - July 1, 2022
FIDELITY BROKERAGE SERVICES LLC
March 9, 2016 - August 29, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 7, 2016 - August 29, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 2014 - February 24, 2016
STRATEGIC ADVISERS LLC
November 11, 2013 - February 23, 2016
FIDELITY BROKERAGE SERVICES LLC
October 1, 2000 - June 4, 2002
WELLS FARGO CLEARING SERVICES, LLC
May 19, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
February 19, 1999 - March 30, 1999
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
