Roberto A. Espinosa
Professional summary
Roberto Aleph Espinosa was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Roberto is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Roberto had worked at 5 firms, which includes MIDSOUTH CAPITAL INC., ACTIVA CAPITAL MARKETS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, CREDIT SUISSE SECURITIES (USA) LLC, PERSHING LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2010 - January 31, 2011
MIDSOUTH CAPITAL, INC.
October 29, 2007 - October 30, 2008
ACTIVA CAPITAL MARKETS, INC.
August 15, 2003 - November 17, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 11, 2003 - November 17, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 17, 2003 - June 25, 2003
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - June 25, 2003
CREDIT SUISSE SECURITIES (USA) LLC
October 9, 2001 - January 17, 2003
PERSHING LLC
October 8, 2001 - January 17, 2003
PERSHING 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
MIDSOUTH CAPITAL, INC.
CRD#: 35039 / SEC#: , 8-46620
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILL, MARK DAVID | CHAIRMAN, BOARD MEMBER, AND SHAREHOLDER | 1056054 |
| CAMPBELL, CYNTHIA H | BOARD MEMBER | |
| HILL, EDWARD DAVID JR | SHAREHOLDER | |
| HILL, ROBIN | SHAREHOLDER | |
| JAMA HOLDINGS | SHAREHOLDER | |
| BATEH, RONALD JAMES | PRESIDENT, CEO, RIA CCO, BOARD MEMBER, SHAREHOLDER | 869380 |
| BRUSH, EDWARD | BOARD MEMBER | |
| MURRAY, SANDRA ANN | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 1407964 |
| ROYSTER, COLLIN HARDING | REGISTERED PRINCIPAL | 843043 |
| VOOS, VIRGINIA LAWRENCE | FINOP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 2 |
Red Flags
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