Roberta L. Counley
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.
Roberta L Counley was a registered financial professional .
Roberta is a previously registered financial professional and started their career in finance in 2002. Roberta had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2017 - July 13, 2021
BATES SECURITIES, INC.
April 12, 2011 - February 16, 2017
RAYMOND JAMES & ASSOCIATES, INC.
June 19, 2006 - July 28, 2011
HOWE BARNES HOEFER & ARNETT, INC.
February 1, 2005 - June 22, 2006
ROBERT W. BAIRD & CO. INCORPORATED
April 8, 2002 - December 9, 2004
CETERA FINANCIAL SPECIALISTS LLC
State Registrations and Notice Filings
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Exams
Current Firm
BATES SECURITIES, INC.
CRD#: 10759 / SEC#: , 8-29005
Contact information
FINRA licenses (34 States and Territories)
Red Flags
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