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David Richard Roberts

Grimes & Company

Bradenton, FL

Westborough, MA

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Current Employers
Grimes & Company

One Technology Drive Suite 100, Westborough, MA 01581 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-05-12
TX RA APPROVED 2021-04-30
  • FL RA
    APPROVED
    Since 2021-05-12
  • TX RA
    APPROVED
    Since 2021-04-30

Branch Locations

Bradenton, FL • United States

One Technology Drive Suite 100, Westborough, MA 01581 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Td Waterhouse Investor Services Inc Atlanta GA 06/1999 01/2021
Tdameritrade Omaha NE 12/2010 06/2017
Tdameritrade Sarasota FL 07/2017 01/2021
Grimes & Company, Inc. Westborough MA 04/2021 Present
  • 06/1999 → 01/2021
    Td Waterhouse Investor Services Inc
    Atlanta, GA
  • 12/2010 → 06/2017
    Tdameritrade
    Omaha, NE
  • 07/2017 → 01/2021
    Tdameritrade
    Sarasota, FL
  • 04/2021 → Present
    Grimes & Company, Inc.
    Westborough, MA
Previous Registrations
  • 2006-04-27 → 2021-01-11
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    Atlanta, GA
    Omaha, NE
    Sarasota, FL
  • 2003-06-26 → 2020-12-31
    Td Ameritrade, Inc.
    Omaha, NE
    Atlanta, GA
    Atlanta, GA
    Sarasota, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-06-17
S63 Uniform Securities Agent State Law Examination 1999-11-01
  • S66 Uniform Combined State Law Examination
    2003-06-17
  • S63 Uniform Securities Agent State Law Examination
    1999-11-01
Designations

View on SEC IAPD

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