Marsha L. Roubidoux

ZEPHYR WEALTH MANAGEMENT

Westlake Village, CA 91362

Some features on this profile are disabled

CRD#: 1266597

Professional summary

Marsha Lynn Roubidoux, CFP®, who also goes by Marsha Lynn Gabrielli, is a registered financial advisor currently at ZEPHYR WEALTH MANAGEMENT located in Westlake Village, California and OSAIC WEALTH, INC. located in Westlake Village, California.

Marsha is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Marsha has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marsha Lynn Gabrielli

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.

1) ZEPHYR INVESTMENT MANAGEMENT. INVESTMENT RELATED; POSITION: ADVISOR, CHIEF INVESTMENT STRATEGIST; 200 HOURS/MTH; 8 DURING SECURITY TRADING HOURS; DUTIES: WORKING WITH CLIENTS, INVESTING ASSETS IN STOCKS, BONDS, MUTUAL FUNDS, VARIABLE ANNUITIES. PREPARE FINANCIAL PROJECTIONS. CLIENT MEETINGS, UPDATES, PHONE CALLS, ETC. 2)ZEPHYR INVESTMENT MANAGEMENT POSITION: Advisor Rep NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 8 START DATE: 01/01/2013 ADDRESS: 3625 E. Thousand Oaks Blvd., #145 Westlake Village, CA 91362, Westlake Village CA 91362, United States DESCRIPTION: Working with clients, recommending investments in stocks, bonds, mutual funds. Prepare financial projections. Client meetings, updates, phone calls, etc.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marsha Lynn Roubidoux's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Experience

Current

February 27, 2013 - Present

ZEPHYR WEALTH MANAGEMENT

Office #1: 3625 E. Thousand Oaks Blvd. Suite 145, Westlake Village, CA 91362

RIA

CRD#: 166303

Westlake Village, CA

Current

November 3, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 3625 East Thousand Oaks Boulevard Suite 145, Westlake Village, CA 91362

RIA

CRD#: 23131

Westlake Village, CA

Past

June 26, 1998 - May 6, 2016

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

WESTLAKE VILLAGE, CA

Past

June 8, 1998 - November 3, 2023

FSC SECURITIES CORPORATION

CRD#: 7461

WESTLAKE VILLAGE, CA

Past

April 22, 1998 - April 13, 2013

ZEPHYR INVESTMENT MANAGEMENT

RIA

CRD#: 108020

WESTLAKE VILLAGE, CA

Past

May 23, 1984 - June 19, 1998

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

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".

ZEPHYR WEALTH MANAGEMENT

ZEPHYR INVESTMENT MANAGEMENT | ZEPHYR WEALTH MANAGEMENT | ZEPHYR INVESTMENT MANAGEMENT, INC.

CRD#: 166303 / SEC#: 801-118365

RIA

Registered Investment Advisory firm - (4/2/2020 Approved)

California

Registered Investment Advisory firm - (5/14/2020 Terminated)

Texas

Registered Investment Advisory firm - (2/27/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(11/3/2023)

IAR

California
(2/27/2013)

California
(11/3/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/31/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/3/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/1/2011

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/2/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ZEPHYR WEALTH MANAGEMENT

ZEPHYR INVESTMENT MANAGEMENT | ZEPHYR WEALTH MANAGEMENT | ZEPHYR INVESTMENT MANAGEMENT, INC.

CRD#: 166303 / SEC#: 801-118365

RIA

Registered Investment Advisory firm - (4/2/2020 Approved)

California

Registered Investment Advisory firm - (5/14/2020 Terminated)

Texas

Registered Investment Advisory firm - (2/27/2015 Terminated)

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

3625 E. Thousand Oaks Blvd. Suite 145, Westlake Village, CA 91362

Mailing Address

Phone number

(805) 496-6810

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ZEPHYR INVESTMENT MANAGEMENT - FORM ADV PART 2A (3/13/2025)

Regulatory assets under management

Total Number of Accounts	666
AUM (Assets Under Management)	$ 421,386,448

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

xxxxx@xxxx.xxx

Similar Advisors

Sean Leonard

WELLS FARGO CLEARING SERVICES, LLC

IAR

Camarillo, CA

Tania Mansouri

J.P. MORGAN SECURITIES LLC

Encino, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Marsha L. Roubidoux

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marsha Lynn Roubidoux's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

ZEPHYR INVESTMENT MANAGEMENT

CETERA WEALTH SERVICES, LLC

Primary Firm SEC Registration

ZEPHYR WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 12/31/1996

Series 63

Date: 10/3/1996

SIE

Date: 10/1/2018

Series 7

Date: 5/19/1984

Series 53

Date: 7/1/2011

Series 24

Date: 2/2/1996

FINRA

Current Firm

ZEPHYR WEALTH MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ZEPHYR WEALTH MANAGEMENT

TRUST BUT VERIFY

Contact information

Similar Advisors