Matthew 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.
Matthew J Roberts, who also goes by Matthew James Roberts, Matthew Roberts, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2011. Matthew had worked at 5 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
June 5, 2017 - July 3, 2019
TD AMERITRADE, INC.
June 5, 2017 - July 3, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 19, 2017 - July 3, 2019
TD AMERITRADE, INC.
May 5, 2015 - April 6, 2017
PRUCO SECURITIES, LLC.
September 20, 2013 - May 6, 2015
PARK AVENUE SECURITIES LLC
September 1, 2011 - June 26, 2013
WADDELL & REED
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
