Thaddeus H. Roberts

FEDERATED SECURITIES

Boston, MA 02110

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CRD#: 5522928

Professional summary

Thaddeus H. Roberts, who also goes by Thaddeus H Roberts, is a registered financial professional currently at FEDERATED SECURITIES CORP. located in Boston, Massachusetts.

Thaddeus is registered as a RR (Registered Representative) and started their career in finance in 2008. Thaddeus has worked at 4 firms and has passed the Series 63, Series 3, SIE and Series 7 exams.

Aliases

Thaddeus H Roberts

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 Thaddeus H. Roberts's 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

July 31, 2026 - Present

FEDERATED SECURITIES CORP.

Office #1: 125 High Street Oliver Street Tower 21st Floor, Boston, MA, 02110

RIA

CRD#: 5009

Boston, MA

Past

August 8, 2019 - July 30, 2026

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

Boston, MA

Past

July 24, 2009 - July 25, 2019

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

Past

June 12, 2008 - June 16, 2009

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FEDERATED SECURITIES CORP.

CRD#: 5009 / SEC#: 801-70438, 8-15561

RIA

Registered Investment Advisory firm - SEC (8/17/2009 Approved)

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

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(7/31/2026)

Alaska
(7/31/2026)

Arizona
(7/31/2026)

Arkansas
(7/31/2026)

California
(7/31/2026)

Colorado
(7/31/2026)

Connecticut
(7/31/2026)

Delaware
(7/31/2026)

District of Columbia
(7/31/2026)

Florida
(7/31/2026)

Georgia
(7/31/2026)

Hawaii
(7/31/2026)

Idaho
(7/31/2026)

Illinois
(7/31/2026)

Indiana
(7/31/2026)

Iowa
(7/31/2026)

Kansas
(7/31/2026)

Kentucky
(7/31/2026)

Louisiana
(7/31/2026)

Maine
(7/31/2026)

Maryland
(7/31/2026)

Massachusetts
(7/31/2026)

Michigan
(7/31/2026)

Minnesota
(7/31/2026)

Mississippi
(7/31/2026)

Missouri
(7/31/2026)

Montana
(7/31/2026)

Nebraska
(7/31/2026)

Nevada
(7/31/2026)

New Hampshire
(7/31/2026)

New Jersey
(7/31/2026)

New Mexico
(7/31/2026)

New York
(7/31/2026)

North Carolina
(7/31/2026)

North Dakota
(7/31/2026)

Ohio
(7/31/2026)

Oklahoma
(7/31/2026)

Oregon
(7/31/2026)

Pennsylvania
(7/31/2026)

Puerto Rico
(7/31/2026)

Rhode Island
(7/31/2026)

South Carolina
(7/31/2026)

South Dakota
(7/31/2026)

Tennessee
(7/31/2026)

Texas
(7/31/2026)

Utah
(7/31/2026)

Vermont
(7/31/2026)

Virgin Islands
(7/31/2026)

Virginia
(7/31/2026)

Washington
(7/31/2026)

West Virginia
(7/31/2026)

Wisconsin
(7/31/2026)

Wyoming
(7/31/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/3/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/2/2021

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/11/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FEDERATED SECURITIES CORP.

CRD#: 5009 / SEC#: 801-70438, 8-15561

RIA

Registered Investment Advisory firm - SEC (8/17/2009 Approved)

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

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Contact information

Main Address

1001 Liberty Avenue, Pittsburgh, PA 15222-3779

Mailing Address

1001 Liberty Avenue, Pittsburgh, PA 15222-3779

Phone number

(412) 288-1900

Established

Pennsylvania since 11/14/1969

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

300

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
FII HOLDINGS, INC.	OWNER
ARONSOHN, JEFF DAVIS JR	COMPLIANCE OFFICER	5414359
BURKE, BRYAN MARKHAM	EXECUTIVE VICE PRESIDENT	2659959
DONAHUE, THOMAS ROBERT	EXECUTIVE VICE PRESIDENT AND DIRECTOR	2766434
EISENBRANDT, PETER WILLIAM	EXECUTIVE VICE PRESIDENT	1676319
FAVERO, AUTUMN LYNN	ASSISTANT TREASURER, FINANCIAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER	7844158
GERMAIN, PETER JOSEPH	DIRECTOR/VICE PRESIDENT	4152014
MOORE, KARY ANNE	SECRETARY	5989808
NOVAK, RICHARD ANTHONY	TREASURER	2901271
RONAYNE, BRIAN SEAN	EXECUTIVE VICE PRESIDENT	2158279
SENCHAK, FRANK CARL	DIRECTOR	6683477
UHLMAN, PAUL ADAM	DIRECTOR AND PRESIDENT	2043674
VAN METER, STEPHEN PAUL	CHIEF COMPLIANCE OFFICER	6020413

Disclosures

Regulatory Event

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

Thaddeus H. Roberts

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thaddeus H. Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

MFS FUND DISTRIBUTORS, INC.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

Primary Firm SEC Registration

FEDERATED SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/3/2008

Series 3

Date: 8/2/2021

SIE

Date: 10/1/2018

Series 7

Date: 6/11/2008

FINRA

Current Firm

FEDERATED SECURITIES CORP.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FEDERATED SECURITIES CORP.

TRUST BUT VERIFY

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