Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid James Roberts is a financial professional with over 3 years of experience in the securities industry. He holds Series 7 and 63 licenses and the Securities Industry Essentials (SIE) exam. David is currently registered with Cantor Fitzgerald & Co. and is licensed in multiple states including California, Delaware, Florida, Massachusetts, New York, North Carolina and Vermont.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
MA
07/09/2018 - Present
Cantor Fitzgerald & Co. (BOSTON MA)
MA
10/12/2015 - 07/18/2018
NOMURA SECURITIES INTERNATIONAL, INC. (BOSTON MA)
BC
Issued 11/19/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/2015
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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