Frederick L. 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.
Frederick Lantz Roberts, who also goes by Frederic Lantz Roberts, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1981. Frederick had worked at 9 firms and has passed the Series 63 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
January 24, 1997 - April 18, 1997
LAWSON FINANCIAL CORPORATION
January 10, 1997 - January 27, 1997
MERIT CAPITAL ASSOCIATES, INC.
September 13, 1994 - January 9, 1995
REPUBLIC SECURITIES, INC.
April 20, 1992 - October 23, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
April 10, 1992 - April 20, 1992
KOBER FINANCIAL CORP.
August 23, 1982 - November 22, 1983
UBS FINANCIAL SERVICES INC.
April 2, 1982 - October 6, 1982
MORGAN STANLEY DW INC.
December 11, 1981 - April 12, 1982
PRUDENTIAL EQUITY GROUP, LLC
August 17, 1981 - April 28, 1982
BLINDER, ROBINSON & CO., INC.
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
LAWSON FINANCIAL CORPORATION
CRD#: 15261 / SEC#: , 8-32099
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Arbitration | 7 |
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.
