Robert Alley Roberts
Professional Summary
Robert Alley Roberts was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1970 - 2003. Robert had worked at 9 firms and has passed the Series 63, SIE, Series 1, Series 27, Series 53, Series 24, Series 4 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
61 years in the financial services industry
Current & Past Employments
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Current Firm
DAVID P. O'CONNOR | WATERFORD CAPITAL, INC.
Contact Information
Main Address
14275 Midway Road Suite 138, Addison, TX 75001Mailing Address
14275 Midway Road Suite 138, Addison, TX 75001Phone Number
(214) 363-6920Established
Texas since 11/30/1987Firm Type
CorporationFiscal Year End
NovemberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
2Arbitration
1Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Apr 1965Series 00 — General Securities Principal Examination
Passed Oct 1970Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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