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Peter J. Roberts

WEALTHFORGE SECURITIES
Richmond, VA 23230
Some features on this profile are disabled
CRD#: 6982848
PR

Professional summary

Peter James Roberts, who also goes by Peter Roberts, is a registered financial professional currently at WEALTHFORGE SECURITIES, LLC located in Richmond, Virginia.

Peter is registered as a RR (Registered Representative) and started their career in finance in 2018. Peter has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Peter 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 Peter James 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

November 1, 2019 - Present

WEALTHFORGE SECURITIES, LLC

Office #1: 3015 W Moore Street Suite 102, Richmond, VA 23230
BD
CRD#: 152550
Richmond, VA
Past

March 26, 2019 - November 1, 2019

CABOT LODGE SECURITIES LLC

BD
CRD#: 159712
Orange, CA
Past

October 11, 2018 - March 25, 2019

SANDLAPPER SECURITIES, LLC

BD
CRD#: 137906
GREENVILLE, SC

State Registrations and Notice Filings

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

RR
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

RR
Arizona
(1/20/2022)
RR
California
(11/1/2019)
RR
Colorado
(5/14/2020)
RR
Florida
(11/1/2019)
RR
Georgia
(11/1/2019)
RR
Hawaii
(1/9/2020)
RR
Indiana
(3/10/2023)
RR
Kansas
(2/22/2022)
RR
Kentucky
(11/1/2019)
RR
Louisiana
(11/1/2019)
RR
Michigan
(5/2/2021)
RR
Mississippi
(1/5/2023)
RR
Nebraska
(7/6/2021)
RR
New Jersey
(1/22/2024)
RR
New York
(3/3/2022)
RR
Ohio
(1/10/2023)
RR
Tennessee
(8/23/2024)
RR
Texas
(11/1/2019)
RR
Virginia
(11/1/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 10/25/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/12/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/11/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WS
WEALTHFORGE SECURITIES, LLC
WEALTHFORGE | WEALTHFORGE, LLC | WEALTHFORGE SECURITIES, LLC

CRD#: 152550 / SEC#: , 8-68464

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

Main Address
3015 W Moore St Suite 102, Richmond, VA 23230
Mailing Address
3015 W Moore St Suite 102, Richmond, VA 23230
Phone number
(804) 308-0431
Established
Virginia since 07/28/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEALTHFORGE HOLDINGS, INC.PARENT
ARLES, DONNA DIPIETROCFO, PFO, POO6489389
RAPER, JAMES LEROY JRCCO, COO5721253
ROBBINS, GEORGE WILLIAM IVCEO2440106

Disclosures

Regulatory Event3
Arbitration1

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.

Company Information

WEALTHFORGE SECURITIES, LLC

CRD#: 152550Richmond, VA 23230

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