James M. Roberts
Professional summary
James Michael Roberts was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James Michael Roberts, who also goes by Mike Roberts, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1979. James had worked at 8 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2007 - September 30, 2009
CULLUM & BURKS SECURITIES, INC.
May 18, 2004 - August 26, 2005
WFP SECURITIES
February 10, 1997 - December 31, 2001
ARAGON FINANCIAL SERVICES, INC.
August 9, 1993 - January 17, 1996
BUTTONWOOD SECURITIES, INC.
January 6, 1993 - August 18, 1993
ROBERT SCOTT SECURITIES, INC.
February 15, 1982 - December 11, 1992
TITAN/VALUE EQUITIES GROUP, INC.
January 30, 1980 - March 3, 1982
FINANCIAL PLANNERS EQUITY CORPORATION
September 26, 1979 - January 9, 1981
WORLD CAPITAL BROKERAGE, 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 1
Date: 9/17/1979
Registered Representative ExaminationCurrent Firm
CULLUM & BURKS SECURITIES, INC.
CRD#: 46600 / SEC#: , 8-51487
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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