Sarah A. Roebuck
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.
Sarah Alice Roebuck, who also goes by Sara Alice C Roebuck, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 1971. Sarah had worked at 6 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2001 - May 25, 2012
INSTITUTIONAL SECURITIES CORPORATION
May 19, 1992 - December 31, 2000
SUNAMERICA SECURITIES, INC.
March 3, 1978 - August 31, 1988
HIMCO DISTRIBUTION SERVICES COMPANY
March 25, 1974 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
December 1, 1973 - May 3, 1974
LINCOLN EQUITIES CORPORATION
January 26, 1971 - February 26, 1974
CONSOLIDATED PROGRAMS, 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: 1/20/1971
Registered Representative ExaminationCurrent Firm
INSTITUTIONAL SECURITIES CORPORATION
CRD#: 20291 / SEC#: 801-36967, 8-38158
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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.
