Stephen A. Roberts
Professional summary
Stephen Anthony Roberts is a registered financial professional currently at KAPITALL GENERATION, LLC located in Austin, Texas.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2009. Stephen has worked at 3 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Anthony Roberts's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 19, 2014 - Present
KAPITALL GENERATION, LLC
Office #1: 301 Congress Ave. Suite 2200, Austin, TX 78701May 14, 2014 - May 5, 2015
CHINA RENAISSANCE SECURITIES (US) INC.
August 24, 2011 - November 2, 2012
KAPITALL GENERATION, LLC
February 19, 2009 - July 21, 2010
NUMIS SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
KAPITALL GENERATION, LLC
CRD#: 153157 / SEC#: , 8-68508
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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