Eldridge T. 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.
Eldridge Tarleton Roberts, who also goes by Eldridge Tarlton Roberts, Et Roberts, was a registered financial professional .
Eldridge is a previously registered financial professional and started their career in finance in 1971. Eldridge had worked at 4 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 1989 - February 1, 2012
INTERNATIONAL MONEY MANAGEMENT GROUP, INC.
August 25, 1988 - September 7, 1989
INVESTACORP, INC.
February 16, 1982 - December 19, 1988
PRUCO SECURITIES, LLC.
July 26, 1971 - December 19, 1988
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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 1
Date: 7/21/1971
Registered Representative ExaminationCurrent Firm
INTERNATIONAL MONEY MANAGEMENT GROUP, INC.
CRD#: 14367 / SEC#: , 8-30417
Contact information
FINRA licenses (11 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
