George 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.
George Alan Roberts, who also goes by Al Roberts, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 2000. George had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2007 - July 9, 2009
NEXT FINANCIAL GROUP, INC.
May 4, 2007 - July 9, 2009
NEXT FINANCIAL GROUP, INC.
February 8, 2005 - December 31, 2012
LIFECOURSE CAPITAL, INC.
October 10, 2003 - July 9, 2004
SSN ADVISORY, INC.
October 7, 2003 - February 1, 2007
SECURITIES SERVICE NETWORK, LLC
May 14, 2003 - October 3, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 25, 2003 - October 3, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 8, 2000 - September 23, 2002
EDWARD JONES
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
Current Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
