Jeanette K. 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.
Jeanette Kennedy Roberts, who also goes by Jeanette Kennedy Grout, Jeanette Kennedy, was a registered financial professional .
Jeanette is a previously registered financial professional and started their career in finance in 1978. Jeanette had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 5, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2014 - September 27, 2024
SOUTHEAST INVESTMENTS, N.C., INC.
June 17, 2013 - February 13, 2014
QUESTAR CAPITAL CORPORATION
August 4, 1997 - May 30, 2013
SOUTHEAST INVESTMENTS, N.C., INC.
January 2, 1997 - July 30, 1997
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 29, 1990 - December 31, 1996
ROBERT THOMAS SECURITIES, INC
August 9, 1988 - July 2, 1990
A. G. EDWARDS & SONS, INC.
March 28, 1980 - August 17, 1988
J.C. BRADFORD & CO.
September 11, 1978 - April 24, 1980
E. F. HUTTON & COMPANY INC
July 24, 1978 - September 11, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 5
Date: 5/10/1982
Interest Rate Options ExaminationCurrent Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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