Roberta A. Laraway
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 Ann Laraway, who also goes by Roberta Ann Goldberg, was a registered financial professional .
Roberta is a previously registered financial professional and started their career in finance in 2004. Roberta had worked at 1 firm and has passed the Series 28 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2004 - August 15, 2013
HEADWATERS BD, 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
Series 28
Date: 10/2/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
HEADWATERS BD, LLC
CRD#: 117042 / SEC#: , 8-53582
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
