Peyton 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.
Peyton Hillyer Roberts was a registered financial advisor .
Peyton is a previously registered financial advisor and started their career in finance in 1971. Peyton had worked at 9 firms and has passed the Series 66, Series 63, Series 7, Series 000 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
March 3, 2005 - May 9, 2007
MORGAN KEEGAN & COMPANY, LLC
February 4, 2005 - May 9, 2007
MORGAN KEEGAN & COMPANY, LLC
February 13, 1986 - November 20, 1986
WACHOVIA SECURITIES, INC.
July 8, 1985 - February 19, 1986
BLACKSTOCK & CO., INC.
January 31, 1980 - December 10, 1983
UBS FINANCIAL SERVICES INC.
October 9, 1979 - December 21, 1984
J.P. MORGAN SECURITIES LLC
September 26, 1978 - April 30, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 11, 1978 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
February 28, 1977 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
April 1, 1971 - April 4, 1977
CITIGROUP GLOBAL MARKETS INC.
March 25, 1971 - June 12, 1985
CITIGROUP GLOBAL MARKETS 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
Series 000
Date: 3/25/1971
General Securities Principal ExaminationSeries 1
Date: 3/25/1971
Registered Representative ExaminationCurrent Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
