Individual Firm
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Roberto Cespedes
ROB CESPEDES
CRD#: 6257944
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1101 S JOSEY LN
CARROLLTON, TX 75006
CARROLLTON, TX 75006
0
Disclosures
10
Years of Experience
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State Registrations
B
Arkansas 5/22/2024
B
New Mexico 5/22/2024
B
Colorado 5/22/2024
B
Oklahoma 5/22/2024
B
Florida 5/22/2024
B
Texas 5/9/2024
B
Louisiana 5/22/2024
IA
Texas 5/9/2024
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 5/9/2024
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Registered with this firm since 5/9/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/15/2022 - 04/02/2024 | DENTON, TX | |
B | 02/15/2022 - 04/02/2024 | DENTON, TX | |
IA | 12/08/2020 - 10/28/2021 | FRISCO, TX | |
B | 05/11/2020 - 10/28/2021 | FRISCO, TX | |
B | 10/25/2013 - 03/11/2020 | FLOWER MOUND, TX |
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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.