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Justin Michelle Roundtree

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Information

Firm:
Type: Registered Representative
Description

Justin Roundtree is a financial professional at Tiaa-Cref Advice and Planning Services, a broker-dealer with over 3,350 registered representatives nationwide. Justin has held an industry securities registration for 12 years and is subject to FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Tiaa-Cref Individual & Institutional Services, LLC 1 year, 4 months Mar 2013 - Present
TIAA 1 year, 4 months Mar 2013 - Present
Aegis Cap Corp. 3 years, 3 months Dec 2009 - Mar 2013
Absolute Hardwood 5 years, 6 months Jan 2009 - Present
Jh Darbie & Co. 1 year, 2 months Oct 2008 - Dec 2009
First London 4 months Jun 2008 - Oct 2008
Barron Moore, Inc. 2 years, 3 months Mar 2006 - Jun 2008
Salomon Grey 6 years, 3 months Dec 1999 - Mar 2006
Exams
ExamSeriesPassed Date
Uniform Securities Agent State Law ExaminationSeries 63 06/21/2002
Limited Representative-Equity Trader ExamSeries 55 05/12/2001
General Securities Representative ExaminationSeries 7 04/16/2001

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Justin Michelle Roundtree has not answered any questions on Financial Q&A.

Top Guides

Justin Michelle Roundtree has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

High Net Worth Individuals
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Disclosures

No Disclosures Found

As of Date
09/28/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Other: COMPENSATION FROM AFFILIATES