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Detailed Report
JEFFREY DIRK ROBERTS
JEFF ROBERTS
CRD#: 1139510
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
Oct2001AprJulOct2002AprJulOct2003AprJulOct2004AprJulOct2005AprIAPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)2001 - 2003 (1 year)
Disclosure(s)
View By:
4/29/2004
Civil
Final
3/12/2004
Regulatory
Final
3/1/2004
Criminal
Final Disposition
Previous Registration(s)
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IA
 08/10/2001 - 05/16/2003 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) BOISE, ID
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.