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Rufus Alston Roberts III
ALSTON ROBERTS III, ALSTON ROBERTS, R ALSTON ROBERTS, R. ALSTON ROBERTS, Rufus Alston Roberts
CRD#: 2134494
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2100 ROSS AVE
DALLAS, TX 75201
Registration History
19952000200520102015202020252 FIRMS1998 - 2009 (11 years)2 FIRMS2009 - 2012 (2 years)2 FIRMS2012 - 2013 (1 year)2 FIRMS2014 - 2014 (<1 year)2 FIRMS2015 - 2022 (7 years)2 FIRMS2023 - Present (2 years)BBA INVESTMENT SERVICES, INC. (CRD# 12965)1999 - 1999 (<1 year)BNATIONSSECURITIES (CRD# 32542)1993 - 1998 (4 years)BNATIONSBANC SECURITIES, INC. (CRD# 16361)1992 - 1993 (<1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1991 - 1992 (1 year)
Disclosure(s)
View By:
11/9/2005
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 2/8/2023

B
Nebraska 2/8/2023

B
Alaska 2/15/2023

B
Nevada 2/14/2023

B
Arizona 2/24/2023

B
New Hampshire 2/16/2023

B
Arkansas 2/21/2023

B
New Jersey 2/8/2023

B
California 2/9/2023

B
New Mexico 2/9/2023

B
Colorado 2/9/2023

B
New York 2/9/2023

B
Connecticut 2/13/2023

B
North Carolina 2/9/2023

B
Delaware 2/17/2023

B
North Dakota 2/14/2023

B
District of Columbia 2/23/2023

B
Ohio 2/8/2023

B
Florida 2/9/2023

B
Oklahoma 2/9/2023

B
Georgia 2/10/2023

B
Oregon 2/9/2023

B
Hawaii 2/23/2023

B
Pennsylvania 2/9/2023

B
Idaho 2/8/2023

B
Puerto Rico 2/16/2023

B
Illinois 2/17/2023

B
Rhode Island 2/13/2023

B
Indiana 2/9/2023

B
South Carolina 2/13/2023

B
Iowa 2/10/2023

B
South Dakota 2/8/2023

B
Kansas 2/8/2023

B
Tennessee 2/9/2023

B
Kentucky 2/8/2023

B
Texas 2/8/2023

B
Louisiana 2/10/2023

IA
Texas 2/8/2023

IA
Louisiana 3/28/2024

B
Utah 2/8/2023

B
Maine 2/9/2023

B
Vermont 2/8/2023

B
Maryland 2/9/2023

B
Virgin Islands 2/10/2023

B
Massachusetts 2/9/2023

B
Virginia 2/9/2023

B
Michigan 2/10/2023

B
Washington 2/8/2023

B
Minnesota 2/8/2023

B
West Virginia 2/9/2023

B
Mississippi 2/9/2023

B
Wisconsin 2/9/2023

B
Missouri 2/8/2023

B
Wyoming 2/14/2023

B
Montana 2/14/2023

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2100 ROSS AVE, DALLAS, TX 75201
401 EDWARDS ST, SHREVEPORT, LA 71101
Registered with this firm since 2/8/2023

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2100 ROSS AVE, DALLAS, TX 75201
401 EDWARDS ST, SHREVEPORT, LA 71101
Registered with this firm since 2/7/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/06/2015 - 11/17/2022 MORGAN STANLEY (CRD#:149777) Dallas, TX
B
05/05/2015 - 11/17/2022 MORGAN STANLEY (CRD#:149777) Dallas, TX
IA
01/30/2014 - 12/03/2014 BBVA WEALTH SOLUTIONS INC. (CRD#:110476) FORT WORTH, TX
B
01/03/2014 - 12/03/2014 BBVA SECURITIES INC. (CRD#:27060) FORT WORTH, TX
IA
06/04/2012 - 12/09/2013 USAA FINANCIAL PLANNING SERVICES (CRD#:106352) DALLAS, TX
B
05/17/2012 - 12/09/2013 USAA FINANCIAL ADVISORS, INC. (CRD#:129035) DALLAS, TX
IA
10/23/2009 - 01/03/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DALLAS, TX
B
10/23/2009 - 01/03/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DALLAS, TX
IA
01/01/1998 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) DALLAS, TX
B
01/01/1998 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) DALLAS, TX
B
03/19/1999 - 07/12/1999 BA INVESTMENT SERVICES, INC. (CRD#:12965) OAKLAND, CA
B
06/07/1993 - 01/01/1998 NATIONSSECURITIES (CRD#:32542)
B
08/03/1992 - 06/07/1993 NATIONSBANC SECURITIES, INC. (CRD#:16361) BOSTON, MA
B
05/02/1991 - 07/31/1992 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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Broker
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Investment Adviser
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.