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Michael S Roberts
MICHAEL STANLEY ROBERTS, Mike Roberts
CRD#: 4275004
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J.P. MORGAN SECURITIES LLCCRD#: 79 1261 BALDWIN AVE
PONTIAC, MI 48340
PONTIAC, MI 48340
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11/11/2003
Customer Dispute
Settled
State Registrations
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Arizona 6/1/2015
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New Jersey 4/18/2016
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California 6/22/2018
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New York 7/10/2019
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Colorado 3/1/2018
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North Carolina 10/27/2020
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Connecticut 5/5/2021
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Ohio 10/13/2017
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Florida 2/13/2014
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Oregon 9/8/2020
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Illinois 10/12/2017
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Puerto Rico 11/18/2020
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Indiana 4/4/2018
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South Carolina 11/21/2018
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Kentucky 5/12/2016
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South Dakota 7/14/2016
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Louisiana 1/6/2022
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Tennessee 1/6/2022
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Maryland 11/12/2019
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Texas 1/11/2018
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Michigan 10/1/2012
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Texas 1/21/2018
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Michigan 2/4/2014
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Vermont 7/12/2021
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Nebraska 11/13/2019
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Washington 12/23/2019
SRO Registrations
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Registered with this firm since 2/4/2014
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Registered with this firm since 10/1/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/18/2010 - 10/01/2012 | ROCHESTER, MI | |
B | 10/23/2009 - 05/04/2010 | TROY, MI | |
B | 10/24/2008 - 10/23/2009 | TROY, MI | |
B | 11/08/2006 - 10/24/2008 | TROY, MI | |
B | 07/06/2005 - 09/26/2006 | ROCHESTER, MI | |
B | 06/22/2001 - 07/06/2005 | CHICAGO, IL | |
B | 10/05/2000 - 04/30/2001 | MINNEAPOLIS, MN | |
B | 10/05/2000 - 04/30/2001 | MINNEAPOLIS, MN |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.