David E. 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.
David Elvyn Roberts was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1976. David had worked at 12 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2019 - April 12, 2026
STATHEROS FINANCIAL SOLUTIONS, INC.
August 7, 2002 - December 31, 2019
PGR SOLUTIONS, LLC
December 11, 2001 - August 7, 2002
INVESMART SECURITIES, LLC
January 18, 2001 - August 7, 2002
INVESMART ADVISORS INC
December 15, 1997 - December 23, 1999
INVESTMENT ARCHITECTS, INC.
April 12, 1996 - December 31, 1997
WMA SECURITIES, INC.
January 10, 1994 - April 15, 1996
MONY SECURITIES CORPORATION
June 5, 1990 - January 11, 1994
HALBERT, HARGROVE & CO.
March 31, 1987 - July 9, 1988
GETTINS FINANCIAL GROUP, INC.
September 23, 1983 - September 2, 1986
CONWAY, WILLIAMS & FOSTER, INC.
December 16, 1981 - July 7, 1982
CALIFORNIA HARTLAND SECURITIES
March 16, 1976 - December 17, 1986
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
Primary Firm SEC Registration
STATHEROS FINANCIAL SOLUTIONS, INC.
CRD#: 306217 / SEC#: 801-117649
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 1
Date: 3/11/1976
Registered Representative ExaminationCurrent Firm
STATHEROS FINANCIAL SOLUTIONS, INC.
CRD#: 306217 / SEC#: 801-117649
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,346 |
| AUM (Assets Under Management) | $ 810,053,837 |
Red Flags
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