Howard S. Roby
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.
Howard Stanford Roby was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1985. Howard had worked at 7 firms and has passed the Series 63, Series 7, Series 3, Series 1, Series 53 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2001 - July 18, 2013
FINANCIAL NORTHEASTERN SECURITIES, INC.
November 12, 1998 - January 8, 2001
LADENBURG THALMANN & CO. INC.
May 26, 1998 - November 11, 1998
SPENCER CLARKE LLC
April 8, 1997 - May 26, 1998
FIRST PROVIDENCE FINANCIAL GROUP, LLC
November 14, 1996 - April 15, 1997
KLEIN, MAUS & SHIRE INC.
July 18, 1996 - December 4, 1996
M.S. FARRELL & COMPANY, INC.
May 13, 1985 - August 19, 1985
EMANUEL AND COMPANY
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: 5/17/1968
Registered Representative ExaminationCurrent Firm
FINANCIAL NORTHEASTERN SECURITIES, INC.
CRD#: 17007 / SEC#: , 8-34883
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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