Christopher 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.
Christopher James Roberts, who also goes by Christopher Roberts, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2015. Christopher had worked at 5 firms and has passed the Series 63, SIE, Series 79 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 26, 2020 - February 24, 2021
TIGRESS FINANCIAL PARTNERS, LLC
September 23, 2019 - December 26, 2019
AGES FINANCIAL SERVICES, LTD.
September 25, 2018 - August 8, 2019
PAULSON INVESTMENT COMPANY LLC
September 12, 2017 - July 26, 2018
PAULSON INVESTMENT COMPANY LLC
December 16, 2016 - July 19, 2017
H.C.WAINWRIGHT & CO., LLC
March 11, 2015 - December 16, 2016
WINDSOR STREET CAPITAL, LP
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
TIGRESS FINANCIAL PARTNERS, LLC
CRD#: 154717 / SEC#: 801-112815, 8-68671
Contact information
FINRA licenses (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17 |
| AUM (Assets Under Management) | $ 11,558,041 |
Disclosures
| Regulatory Event | 2 |
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.
