Charles S. Roberson

Some features on this profile are disabled

CRD#: 1228347

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Charles Stuart Roberson, CFP® was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 4 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.

Biography

Chuck is a frequent presenter at conferences of professional and consumer organizations. His quotes on financial industry trends have been featured in various print media including: The New York Times, CNNMoney, Money Magazine, St. Petersburg Times, Pittsburgh Tribune and the NJ Newsroom.

Outside of the office, Chuck enjoys combining his commitment to community service with his passion for cycling by participating in ultra-bike races for the benefit of charitable organizations. He fundraises and rides annually in many races throughout the year. For example, he participates annually in both the New Jersey Gran Fondo 100-mile race benefiting The Seeing Eye, Grow it Green Morristown and Homeless Solutions, and the New York Gran Fondo 100-mile race benefiting Operation Smile.  (CAM 3108)

Question & Answer

What are your service offerings?

Employee and Employer Plan Ben...

Retirement Planning

Comprehensive Financial Planni...

Tax Planning

Insurance Planning

Investment Planning

Education Planning

Estate Planning

Do you have an area of expertise or specialization?

AUM

Business Owners

High Net Worth Client Needs

Investment Advice with Ongoing...

Medical Professionals

Retirement Planning & Distribu...

What is your minimum asset requirement?

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Past

January 3, 2011 - January 5, 2023

MODERA WEALTH MANAGEMENT, LLC

RIA

CRD#: 155649

SOUTHPORT, NC

Past

May 3, 2006 - December 31, 2010

MODERA WEALTH MANAGEMENT

RIA

CRD#: 105184

WESTWOOD, NJ

Past

May 9, 2002 - April 28, 2006

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

NEW PROVIDENCE, NJ

Past

January 27, 1989 - April 28, 2006

MML INVESTORS SERVICES, LLC

CRD#: 10409

NEW PROVIDENCE, NJ

Past

February 6, 1984 - January 23, 1990

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MODERA WEALTH MANAGEMENT, LLC

MODERA ADVISORS OF CRYSTAL RIVER, LLC | MODERA WEALTH MANAGEMENT, LLC

CRD#: 155649 / SEC#: 801-71973

RIA

Registered Investment Advisory firm - (11/16/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/15/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/21/1984

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/31/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/16/1987

General Securities Principal Examination

Current Firm

MODERA WEALTH MANAGEMENT, LLC

MODERA ADVISORS OF CRYSTAL RIVER, LLC | MODERA WEALTH MANAGEMENT, LLC

CRD#: 155649 / SEC#: 801-71973

RIA

Registered Investment Advisory firm - (11/16/2010 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

56 Jefferson Avenue, Westwood, NJ 07675

Mailing Address

Phone number

(201) 768-4600

Established

Firm type

Fiscal year end

# of Employees

219

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

03 24 2025 MWM FORM ADV PART 2A FINAL (3/24/2025)

Regulatory assets under management

Total Number of Accounts	20,833
AUM (Assets Under Management)	$ 15,510,482,152

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/20/2024	Cover Page	Report
01/26/2024	Cover Page	Report
01/25/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles S. Roberson

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MODERA WEALTH MANAGEMENT

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

WS GRIFFITH SECURITIES, INC.

Primary Firm SEC Registration

MODERA WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/15/1985

Series 7

Date: 7/21/1984

Series 6

Date: 1/31/1984

Series 24

Date: 7/16/1987

Current Firm

MODERA WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MODERA WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors