Courtney J. 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.
Courtney Jeanette Roberts, who also goes by Courtney J Kelley, Courtney Jeanette Kelley, Courtney Kelley, Courtney J Roberts, Courtney Roberts, was a registered financial professional .
Courtney is a previously registered financial professional and started their career in finance in 2007. Courtney had worked at 10 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 24, 2016 - April 29, 2022
MUTUAL SECURITIES, INC.
June 20, 2013 - August 29, 2016
NATIONAL PLANNING CORPORATION
June 18, 2013 - May 2, 2022
BARBER FINANCIAL GROUP
August 1, 2012 - June 14, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
August 1, 2012 - June 14, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
April 18, 2012 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
January 25, 2011 - April 19, 2012
M&I INVESTMENT MANAGEMENT CORP.
January 25, 2011 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
October 7, 2010 - January 13, 2011
AMERICAN CENTURY INVESTMENT SERVICES INC.
April 13, 2010 - June 7, 2010
NYLIFE DISTRIBUTORS LLC
January 1, 2008 - March 15, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - March 15, 2010
WELLS FARGO CLEARING SERVICES, LLC
April 25, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
February 16, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
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
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
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.
