William S. 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 Scott Roberts, who also goes by Bill Roberts, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1968. William had worked at 8 firms and has passed the Series 63, Series 1, F04 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
November 13, 1985 - December 31, 1991
OLSEN PAYNE & COMPANY
July 16, 1985 - October 1, 1985
FITZGERALD, TALMAN, INC.
January 18, 1985 - July 19, 1985
NIELSON AND CLARK INC.
June 4, 1984 - January 14, 1985
R. A. JOHNSON AND COMPANY, INC.
February 5, 1981 - May 14, 1984
VENHU SECURITIES INC.
July 6, 1977 - March 1, 1981
WESTERN CAPITAL & SECURITIES, INC.
June 17, 1974 - April 7, 1978
LE BARRON SECURITIES, INC.
March 6, 1968 - October 30, 1974
AMERICAN FUNDS & TRUSTS INCORPORATED
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: 3/1/1968
Registered Representative ExaminationF04
Date: 7/11/1974
Financial Principal ExaminationSeries 00
Date: 7/11/1974
General Securities Principal ExaminationCurrent Firm
OLSEN PAYNE & COMPANY
CRD#: 15607 / SEC#: , 8-32286
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 1 |
Red Flags
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