Allison B. Roberts

GRAYSCALE SECURITIES

Stamford, CT 06902

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CRD#: 5198017

Professional summary

Allison Brady Roberts, who also goes by Allison Brady Westmacott, is a registered financial professional currently at GRAYSCALE SECURITIES, LLC located in Stamford, Connecticut.

Allison is registered as a RR (Registered Representative) and started their career in finance in 2007. Allison has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Allison Brady Westmacott

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Allison Brady Roberts's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 17, 2021 - Present

GRAYSCALE SECURITIES, LLC

Office #1: 290 Harbor Drive 4th Floor, Stamford, CT 06902

CRD#: 305907

Stamford, CT

Past

December 17, 2021 - October 3, 2022

GENESIS GLOBAL TRADING, INC

CRD#: 136962

STAMFORD, CT

Past

November 20, 2019 - December 7, 2021

KINETICS FUNDS DISTRIBUTOR LLC

CRD#: 780

NEW YORK, NY

Past

June 17, 2015 - December 7, 2021

KBD SECURITIES, LLC

CRD#: 104110

NEW YOYK, NY

Past

July 26, 2007 - June 12, 2015

WESTCO INVESTMENT CORP.

CRD#: 20744

LYNBROOK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/16/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/26/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/25/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/25/2013

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GRAYSCALE SECURITIES, LLC

CRD#: 305907 / SEC#: , 8-70437

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

290 Harbor Drive 4th Floor, Stamford, CT 06902

Mailing Address

290 Harbor Drive 4th Floor, Stamford, CT 06902

Phone number

(203) 998-6150

Established

Delaware since 06/14/2018

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GRAYSCALE OPERATING, LLC	SOLE MEMBER OF GRAYSCALE SECURITIES, LLC
MASCI, KATHRYN CODY	FINOP / PFO	6755238
PALASZ, FELICA CORNELIA	POO	7830001
PALMER, JORDAN WYNN	CHIEF EXECUTIVE OFFICER	7279088
ROBERTS, ALLISON BRADY	CHIEF COMPLIANCE OFFICER	5198017
SALM, CRAIG IAN	CHIEF LEGAL OFFICER	6936921

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.

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Advisor Monitoring

Firm Stability Insights

Allison B. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Allison Brady Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

GENESIS GLOBAL TRADING, INC

KINETICS FUNDS DISTRIBUTOR LLC

KBD SECURITIES, LLC

WESTCO INVESTMENT CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/16/2014

Series 63

Date: 6/26/2008

SIE

Date: 10/1/2018

Series 7

Date: 7/25/2007

Series 24

Date: 1/25/2013

FINRA

Current Firm

GRAYSCALE SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

GRAYSCALE SECURITIES, LLC

TRUST BUT VERIFY

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