Thomas M. Roby
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.
Thomas Mark Roby JR, who also goes by Mark Roby, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1975. Thomas had worked at 12 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2013 - December 11, 2023
J. W. COLE ADVISORS, INC.
May 10, 2013 - December 11, 2023
J.W. COLE FINANCIAL, INC.
September 27, 2012 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
September 27, 2012 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
April 4, 2006 - September 27, 2012
SUNSET FINANCIAL SERVICES, INC.
March 23, 2006 - September 27, 2012
SUNSET FINANCIAL SERVICES, INC.
September 10, 2002 - November 13, 2003
INDEPENDENT ADVISERS GROUP CORP
November 13, 2001 - March 24, 2006
OSAIC FS, INC.
October 12, 2001 - March 24, 2006
OSAIC FS, INC.
December 20, 2000 - October 12, 2001
COMMONWEALTH FINANCIAL NETWORK
March 15, 1993 - December 31, 2002
BTS ASSET MANAGEMENT, INC.
July 10, 1989 - December 21, 2000
OSAIC FS, INC.
August 28, 1987 - July 17, 1989
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
August 28, 1987 - July 17, 1989
MONY SECURITIES CORPORATION
June 29, 1982 - September 1, 1987
OSAIC FS, INC.
January 18, 1978 - July 1, 1982
WOODBURY FINANCIAL SERVICES, INC.
October 1, 1975 - February 19, 1978
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 9/24/1975
Registered Representative ExaminationCurrent Firm
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
Red Flags
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