Gary W. 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.
Gary W Roberts, who also goes by Gary Wallace Roberts, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 2000. Gary had worked at 6 firms and has passed the Series 66, SIE 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
August 18, 2014 - May 24, 2016
WOODMEN FINANCIAL SERVICES, INC.
January 11, 2013 - September 10, 2014
LPL FINANCIAL LLC
November 14, 2012 - September 10, 2014
LPL FINANCIAL LLC
June 8, 2012 - August 22, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 10, 2001 - October 22, 2001
EQUITABLE ADVISORS, LLC
August 30, 2000 - December 19, 2000
IDS LIFE INSURANCE COMPANY
August 30, 2000 - December 19, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
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
WOODMEN FINANCIAL SERVICES, INC.
CRD#: 117365 / SEC#: , 8-53592
Contact information
FINRA licenses (38 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WFS HOLDINGS, INC. | 100% OWNER OF WOODMEN FINANCIAL SERVICES, INC. | |
| BENGTSON, CYNTHIA SHAWN | DIRECTOR AND CHAIRMAN | 6073749 |
| BUDERUS, TIMOTHY KEVIN | PRESIDENT, CEO AND DIRECTOR | 3083401 |
| DARLING, DANIEL RUSSELL | SENIOR SALES MANAGER | 5220507 |
| DAY, JACOB MICHAEL | DIRECTOR | 5003086 |
| DRIFFILL, CHARLES REICH JR. | DIRECTOR | 5239194 |
| EBLEN, LINDSEY JEAN | FINOP AND REVIEW PRINCIPAL (CFO)/TREASURER | 4496236 |
| OLARI, NICHOLAS CONNER | DIRECTOR AND SECRETARY | 6079027 |
| PORTER, RAHJA | CHIEF COMPLIANCE OFFICER | 6860469 |
| ROSAUER, ADAM THOMAS | MANAGER OF OPERATIONS | 4761408 |
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.
