Clifton H. 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.
Clifton Hideki Roberts, who also goes by Cliff H Roberts, Cliff Roberts, Clifton Sato Roberts, was a registered financial professional .
Clifton is a previously registered financial professional and started their career in finance in 2000. Clifton had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2019 - August 26, 2020
D.H. HILL SECURITIES, LLLP
July 15, 2019 - September 19, 2019
CETERA INVESTMENT SERVICES LLC
June 27, 2014 - May 25, 2018
LPL FINANCIAL LLC
June 27, 2014 - May 25, 2018
LPL FINANCIAL LLC
September 28, 2012 - July 1, 2014
WELLS FARGO CLEARING SERVICES, LLC
September 28, 2012 - July 1, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 17, 2008 - October 3, 2012
CHASE INVESTMENT SERVICES CORP.
October 24, 2006 - October 3, 2012
CHASE INVESTMENT SERVICES CORP.
May 5, 2004 - January 19, 2005
WALNUT STREET SECURITIES, INC.
April 7, 2004 - January 19, 2005
WALNUT STREET SECURITIES, INC.
April 26, 2002 - May 8, 2002
NATIONAL PLANNING CORPORATION
December 7, 2001 - May 24, 2004
OFI PRIVATE INVESTMENTS INC
October 3, 2001 - May 9, 2002
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
May 21, 2001 - August 24, 2001
CETERA ADVISORS LLC
May 10, 2000 - June 1, 2001
MORGAN STANLEY DW INC.
March 27, 2000 - May 11, 2000
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
D.H. HILL SECURITIES, LLLP
CRD#: 41528 / SEC#: , 8-49475
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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