Individual Firm
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CHARLES DAVID ROBERTS JR
CHARLES DAVID ROBERTS
CRD#: 1879677
IA
B
LPL ENTERPRISE, LLCCRD#: 8733 5605 CARNEGIE BLVD
STE 240
CHARLOTTE, NC 28209
STE 240
CHARLOTTE, NC 28209
0
Disclosures
23
Years of Experience
View By:
State Registrations
B
California 11/14/2024
B
Pennsylvania 11/14/2024
B
Florida 11/15/2024
B
South Carolina 11/14/2024
B
Michigan 11/14/2024
B
Texas 11/14/2024
B
North Carolina 11/14/2024
IA
Texas 11/14/2024
IA
North Carolina 11/14/2024
B
Washington 11/14/2024
SRO Registrations
B
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IA
Registered with this firm since 11/14/2024
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Registered with this firm since 11/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/16/2024 - 11/14/2024 | High Point, NC | |
B | 09/16/2024 - 11/14/2024 | High Point, NC | |
IA | 02/22/2012 - 09/24/2024 | PINEVILLE, NC | |
B | 01/30/2012 - 09/24/2024 | PINEVILLE, NC | |
IA | 01/14/2009 - 12/31/2011 | MATTHEWS, NC | |
B | 01/14/2009 - 12/31/2011 | MATTHEWS, NC | |
IA | 06/30/2006 - 01/02/2009 | CHARLOTTE, NC | |
B | 07/05/2005 - 01/02/2009 | CHARLOTTE, NC | |
B | 11/12/2004 - 06/27/2005 | MALVERN, PA | |
B | 02/07/1992 - 07/09/1992 | ||
B | 01/13/1992 - 01/29/1992 | ||
B | 02/07/1991 - 06/25/1991 | ||
B | 08/22/1990 - 10/17/1990 | ||
B | 03/16/1989 - 09/05/1990 | ||
B | 02/09/1989 - 10/02/1989 | ||
B | 02/28/1989 - 03/22/1989 | ||
B | 02/23/1989 - 03/16/1989 | ||
B | 09/20/1988 - 01/30/1989 |
02/28/1989 - 03/22/1989
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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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.