James Benjamin Roberts

Current Employers

Employment History

• 02/2005 → 08/2017
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Alpharetta, GA
• 08/2017 → 10/2019
  Fsc Securities Corp
  Atlanta, GA
• 10/2019 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 10/2019 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2017-08-04 → 2019-10-09
  Fsc Securities Corporation
  Milton, GA
  Alpharetta, GA
  Milton, GA
• 2005-03-08 → 2017-08-07
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Alpharetta, GA
  Alpharetta, GA
• 2004-03-11 → 2005-01-13
  Citigroup Global Markets Inc.
  Atlanta, GA

Other Businesses

1) Marist School Alumni Association., 3790 Ashford Dunwoody Road, NE Atlanta, GA 30319; Began 07/01/219 as Director. Non-INV REL Devotes 0 HR/WK; 0 HR/WK during trading 2) Robert Capital Management, 200 Smithdun Ln. Atlanta, GA 30350; Began 02/11/2018 as Owner. Non-INV REL Devotes 0 HR/WK; 0 HR/WK during trading. 3) Independent Insurance Agent, 12640 Crabapple Road Suite 300 Milton GA, 08/2017, For Various Independent Insurance Companies. INV REL -10 hr/mt- 10/TRADING. 4) NETTUNO WEALTH MANAGEMENT, 12640 CRABAPPLE RD STE 300 MILTON GA, 08/2017, MANAGING DIRECTOR, DBA, 40 HR/MO 40 HR/MO TRADING 5) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 10/2019, AS ADVISORY REP OF A RIA. INV REL, 80 HR/MO 80 HR/MO TRADING 6) ATLANTA ARCHDIOCESE CATHOLIC CURSILLO, PO BOX 464577 LAWRENCEVILLE GA, 07/2024, TREASURER, RELIGIOUS ORGANIZATION, NIR, 4 HR/MO 0 HR/MO TRADING 7) ST. VINCENT DE PAUL GEORGIA, 2050-C Chamblee Tucker Road, Atlanta GA 30341, United States, 06/2026, COMMITTEE MEMBER, BOARD MEMBER/OFFICER/DIRECTOR/COMMITTEE MEMBER/BOARD TRUSTEE, NIR, 5 HR/MO - 0 HR/MO TRADING.

Exams

• S66 Uniform Combined State Law Examination
  2004-03-02