William D. 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.
William David Roberts was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1973. William had worked at 5 firms and has passed the PC 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
November 13, 1991 - November 14, 1995
TRAUB AND COMPANY, INC.
November 8, 1989 - November 27, 1991
ADVEST, INC.
April 27, 1979 - November 22, 1989
SANCTUARY SECURITIES, INC.
May 3, 1977 - May 27, 1979
SUMMERS & COMPANY, INC.
July 30, 1975 - June 1, 1977
RAFFENSPERGER, HUGHES & CO., INC.
August 17, 1973 - September 10, 1975
TRAUB AND COMPANY, 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
PC
Date: 12/18/1989
AMEX Put and Call ExamSeries 1
Date: 8/14/1973
Registered Representative ExaminationCurrent Firm
TRAUB AND COMPANY, INC.
CRD#: 4904 / SEC#: , 8-15584
Contact information
Documents
Red Flags
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