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Joseph Jay Roberts

THE Leaders Group, Inc.

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About Joseph Jay Roberts

Joseph Jay Roberts is a financial advisor with The Leaders Group, Inc., located in Littleton, CO. Joseph has been in the financial services industry since 1990. He holds FINRA Series 7, 24, 63, and 65 licenses, as well as the SIE exam. Joseph is registered with the states of North Carolina and South Carolina.

Firm Information

Joseph Roberts is currently registered with THE Leaders Group, Inc.. THE Leaders Group, Inc. is a Corporation registered in 52 states and the District of Columbia, with an approved SEC registration. Formed on July 14, 1994, the firm has a history of providing financial services.

Not reported

Assets Under Management

Not reported

Total Clients

854

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Joseph Roberts’s Registration & Firm History

CO

01/22/2014 - Present

THE Leaders Group, Inc. (LITTLETON CO)

SC

01/24/2013 - 05/21/2013

NFP SECURITIES, INC. (GREER SC)

SC

02/13/2006 - 01/15/2013

NFP SECURITIES, INC. (GREER SC)

CO

10/20/2003 - 01/03/2006

THE LEADERS GROUP, INC. (LITTLETON CO)

CA

10/10/2002 - 10/13/2003

TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)

CO

06/22/1999 - 10/10/2002

THE LEADERS GROUP, INC. (LITTLETON CO)

IN

01/04/1999 - 06/21/1999

LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)

CT

04/24/1996 - 01/12/1999

AETNA INVESTMENT SERVICES, INC. (WINDSOR CT)

ME

01/19/1995 - 12/31/1995

440 FINANCIAL DISTRIBUTORS, INC. (PORTLAND ME)

NY

05/16/1990 - 01/04/1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

02/26/1990 - 05/01/1990

SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)

NY

08/22/1989 - 02/05/1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 03/17/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/05/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/03/1995

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/19/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joseph Jay Roberts.
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