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Charles R. Roberts

Some features on this profile are disabled
CRD#: 1284923
CR

Professional summary

Charles Ray Roberts JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Charles had worked at 3 firms, which includes BETTERVIEW WEALTH ADVISORS LLC, MORGAN KEEGAN & COMPANY LLC, FIRST JERSEY SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chuck Roberts

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®
None

Experience

Past

August 11, 2017 - September 27, 2017

BETTERVIEW WEALTH ADVISORS, LLC

RIA
CRD#: 285697
HENDERSONVILLE, TN
Past

October 29, 1986 - June 14, 2000

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

July 26, 1984 - November 12, 1986

FIRST JERSEY SECURITIES, INC.

BD
CRD#: 6621

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/22/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/10/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/1984
General Securities Representative Examination

Current Firm

BW
BETTERVIEW WEALTH ADVISORS, LLC
BETTERVIEW INVESTMENT ADVISORS | BETTERVIEW WEALTH ADVISORS, LLC

CRD#: 285697 / SEC#:

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Contact information

Main Address
Hendersonville, TN
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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.

Company Information

BETTERVIEW WEALTH ADVISORS, LLC

CRD#: 285697

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