David K. Roberts
Professional summary
David K Roberts, who also goes by David K Roberts III, David K Roberts, David Roberts, is a registered financial professional currently at COHEN & STEERS SECURITIES, LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2006. David has worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, SIE, Series 52, Series 55, Series 7, Series 14, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David K Roberts's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 26, 2025 - Present
COHEN & STEERS SECURITIES, LLC
Office #1: 1166 Avenue Of The Americas 30th Floor, New York, NY 10036September 24, 2019 - October 15, 2021
FINPOSTFIN LLC
June 16, 2016 - July 8, 2022
MAXIM FINANCIAL ADVISORS LLC
July 1, 2013 - July 8, 2022
MAXIM GROUP LLC
October 3, 2007 - May 7, 2010
NASDAQ CAPITAL MARKETS ADVISORY LLC
October 3, 2007 - May 7, 2010
NASDAQ EXECUTION SERVICES, LLC
June 26, 2006 - October 12, 2007
MAXIM GROUP 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 4/13/2007
Limited Representative-Equity Trader ExamFINRA
Current Firm
COHEN & STEERS SECURITIES, LLC
CRD#: 29258 / SEC#: , 8-44123
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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