Robert B. Roller
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.
Robert Bernard Roller, who also goes by Robert B Roller, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1976. Robert had worked at 21 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2006 - April 5, 2017
VFINANCE INVESTMENTS, INC
February 23, 2005 - May 3, 2006
STERLING FINANCIAL INVESTMENT GROUP, INC.
August 24, 2004 - February 18, 2005
NATALLIANCE SECURITIES, LLC
August 3, 2001 - August 23, 2004
STERLING FINANCIAL INVESTMENT GROUP, INC.
December 23, 1997 - August 1, 2001
SSI SECURITIES CORP.
April 24, 1997 - February 9, 1998
CRISPIN KOEHLER SECURITIES
June 3, 1996 - May 1, 1997
R. SEELAUS & CO., LLC
February 9, 1996 - May 13, 1996
AMUNI FINANCIAL, INC.
December 18, 1995 - January 3, 1996
AMUNI FINANCIAL, INC.
October 14, 1995 - December 19, 1995
MEYERS POLLOCK ROBBINS, INC.
February 8, 1995 - August 25, 1995
CIC CAPITAL
July 5, 1994 - January 26, 1995
FIRST EQUITY CORPORATION OF FLORIDA
August 13, 1993 - July 11, 1994
DAVID LERNER ASSOCIATES, INC.
February 23, 1989 - September 13, 1993
GRUNTAL & CO., L.L.C.
January 1, 1988 - February 27, 1989
AVM, L.P.
July 25, 1987 - December 23, 1987
OPPENHEIMER GOVERNMENT SECURITIES, INC.
September 6, 1986 - December 22, 1987
CIBC WORLD MARKETS CORP.
December 11, 1984 - February 24, 1986
TMA GOVERNMENT SECURITIES, LTD.
November 5, 1979 - February 5, 1985
BUTCHER & SINGER INC.
December 18, 1978 - October 2, 1979
HAMILTON/COOKE & CO. OF FLORIDA, INC.
March 29, 1977 - September 1, 1979
G. R. PHELPS & CO., INC.
November 30, 1976 - January 13, 1977
FINANCIAL INDUSTRIES SECURITIES CORPORATION
March 2, 1976 - November 6, 1976
SHEARSON HAYDEN STONE 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
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 6 |
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.
