Robert A. 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.
Robert Alley Roberts was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 1997 - May 21, 2003
WATERFORD CAPITAL, INC.
April 1, 1997 - October 14, 2015
NETHERLAND SECURITIES, INC.
February 28, 1991 - March 19, 1991
BULLISH BOB BAGLEY SECURITIES, INC.
December 12, 1990 - May 29, 1991
SOLOMON ADVISORS
September 29, 1988 - September 17, 1992
T.L. GROUP, INC.
February 19, 1988 - December 10, 1999
PRIVATE BROKERS CORPORATION
November 16, 1982 - May 5, 1986
RSL SECURITIES, INC.
December 13, 1972 - October 21, 1979
INSTITUTIONAL EQUITY CORPORATION
November 2, 1970 - September 13, 1973
CLARK & CLARK SECURITIES 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 1
Date: 4/6/1965
Registered Representative ExaminationSeries 00
Date: 10/27/1970
General Securities Principal ExaminationCurrent Firm
WATERFORD CAPITAL, INC.
CRD#: 21687 / SEC#: , 8-39210
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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