Curtis A. 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.
Curtis Alan Roberts was a registered financial advisor .
Curtis is a previously registered financial advisor and started their career in finance in 1975. Curtis had worked at 10 firms and has passed the Series 65, Series 63, Series 5, PC, Series 7, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2003 - January 29, 2004
CARLIN EQUITIES, LLC
June 4, 2002 - December 31, 2003
CURTIS A. ROBERTS
October 13, 1998 - March 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
November 29, 1995 - June 22, 1998
WESTERN INTERNATIONAL SECURITIES, INC.
February 14, 1994 - December 21, 1995
BOE & COMPANY, INC.
June 25, 1992 - January 6, 1994
JINCO SECURITIES, INC.
April 11, 1988 - July 2, 1992
LEHMAN BROTHERS INC.
May 3, 1983 - April 11, 1988
E. F. HUTTON & COMPANY INC
September 26, 1978 - May 19, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 5
Date: 10/26/1981
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 12
Date: 6/4/1979
NYSE Branch Manager ExaminationCurrent Firm
CARLIN EQUITIES, LLC
CRD#: 31295 / SEC#: , 8-40963
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARLIN GROUP LLC | OWNER OF CARLIN EQUITIES LLC | |
| BERNSTEIN, SAMUEL H | CHIEF STRATEGIC OFFICER | 2183676 |
| FEIG, ROBERT | VICE PRESIDENT, SALES | 871895 |
| FROMMER, JEREMY PHILLIP | PRESIDENT | 2099159 |
| FROMMER, JEREMY PHILLIP | CHIEF EXECUTIVE OFFICER | 2099159 |
| PORTNOI, ALAN SCOTT | MANAGING DIRECTOR, INSTITUTIONAL SALES | 1537825 |
| SHAH, UPENDRA KANTILAL | CHIEF INFORMATION OFFICER | |
| SHEAR, RONALD HENRY | CHAIRMAN | 420846 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
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.
