GR
Garrett E. Roberts
CANTOR FITZGERALD & CO.
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 4406014
GR
Professional summary
Garrett Evan Roberts, who also goes by Garrett Evan Roberts, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in Summit, New Jersey and CF SECURED, LLC located in Summit, New Jersey.
Garrett is registered as a RR (Registered Representative) and started their career in finance in 2002. Garrett has worked at 6 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Garrett Evan Roberts
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Garrett Evan Roberts's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 24, 2017 - Present
CANTOR FITZGERALD & CO.
Office #1: 47 Maple Street Atrium 2nd Floor, Summit, NJ 07901BD
CRD#: 134
Summit, NJ
Current
February 7, 2018 - Present
CF SECURED, LLC
Office #1: 47 Maple Street Atrium 2nd Floor, Summit, NJ 07901BD
CRD#: 285841
Summit, NJ
Past
September 8, 2014 - February 17, 2017
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
September 22, 2008 - July 24, 2014
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
February 25, 2003 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
July 30, 2002 - December 2, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/1/2019)
RR
Alaska(5/1/2019)
RR
Arizona(5/1/2019)
RR
Arkansas(5/1/2019)
RR
California(4/25/2017)
RR
Colorado(4/25/2017)
RR
Connecticut(4/25/2017)
RR
Delaware(4/25/2017)
RR
District of Columbia(4/25/2017)
RR
Florida(5/1/2019)
RR
Georgia(4/25/2017)
RR
Hawaii(5/1/2019)
RR
Idaho(5/1/2019)
RR
Illinois(4/25/2017)
RR
Indiana(10/4/2022)
RR
Iowa(4/25/2017)
RR
Kansas(4/25/2017)
RR
Kentucky(5/1/2019)
RR
Louisiana(5/1/2019)
RR
Maine(5/1/2019)
RR
Maryland(4/25/2017)
RR
Massachusetts(5/1/2019)
RR
Michigan(5/1/2019)
RR
Minnesota(4/25/2017)
RR
Mississippi(5/1/2019)
RR
Missouri(5/1/2019)
RR
Montana(5/1/2019)
RR
Nebraska(5/1/2019)
RR
Nevada(10/4/2022)
RR
New Hampshire(4/25/2017)
RR
New Jersey(4/25/2017)
RR
New Mexico(4/25/2017)
RR
New York(4/24/2017)
RR
North Carolina(5/1/2019)
RR
North Dakota(5/1/2019)
RR
Ohio(4/25/2017)
RR
Oklahoma(5/1/2019)
RR
Oregon(5/1/2019)
RR
Pennsylvania(5/1/2019)
RR
Puerto Rico(5/1/2019)
RR
Rhode Island(5/1/2019)
RR
South Carolina(5/1/2019)
RR
South Dakota(5/1/2019)
RR
Tennessee(5/1/2019)
RR
Texas(4/25/2017)
RR
Utah(5/1/2019)
RR
Vermont(5/1/2019)
RR
Virginia(5/1/2019)
RR
Washington(4/25/2017)
RR
West Virginia(5/1/2019)
RR
Wisconsin(4/25/2017)
RR
Wyoming(5/1/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CS
CF SECURED, LLC
CANTOR FITZGERALD SECURED, LLC | CF SECURED, LLC | CANTOR PRIME SERVICES
CRD#: 285841 / SEC#: , 8-69863
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
110 East 59th Street 4th Floor, New York, NY 10022
Mailing Address
110 East 59th Street 4th Floor, New York, NY 10022
Phone number
(212) 915-1000
Established
Delaware since 09/16/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CF SECURED HOLDINGS, LLC | SOLE MEMBER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFIER/GLOBAL HEAD OF EQUITIES | 4424051 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
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.
