Roberto W Roffo

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-10-21
NJ	RA	APPROVED	2024-10-08

Branch Locations

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

Organization	City	State	From	To
Herbert J. Sims & Co. Inc	Fairfield	CT	06/2016	08/2018
R&C Investment Advisors, Llc	New York	NY	01/2020	12/2020
Unemployed	Dayton	NJ	09/2018	08/2019
Roosevelt & Cross, Inc.	New York	NY	08/2019	12/2019
Swbc Investment Company	Dayton	NJ	12/2020	03/2024
Swbc Investment Services, Llc	Dayton	NJ	02/2021	03/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Princeton	NJ	09/2024	Present
Unemployed	Dayton	NJ	04/2024	08/2024
Bank Of America, N.A.	Princeton	NJ	10/2024	Present

06/2016 → 08/2018

Herbert J. Sims & Co. Inc

Fairfield, CT
01/2020 → 12/2020

R&C Investment Advisors, Llc

New York, NY
09/2018 → 08/2019

Unemployed

Dayton, NJ
08/2019 → 12/2019

Roosevelt & Cross, Inc.

New York, NY
12/2020 → 03/2024

Swbc Investment Company

Dayton, NJ
02/2021 → 03/2024

Swbc Investment Services, Llc

Dayton, NJ
09/2024 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Princeton, NJ
04/2024 → 08/2024

Unemployed

Dayton, NJ
10/2024 → Present

Bank Of America, N.A.

Princeton, NJ

2020-12-14 → 2024-03-04

Swbc Investment Company

Dayton, NJ

San Antonio, TX
2016-07-05 → 2018-07-03

Herbert J. Sims Capital Management, Inc.

Fairfield, CT
2017-02-13 → 2018-07-03

Braintree Capital Partners, Llc

Fairfield, CT

Fairfield, CT
2013-12-04 → 2014-07-30

Advisors Asset Management, Inc.

Princeton, NJ

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-10-28

Other Firms