Kenneth A. Roberts

FINANCIAL PATHWAYS

Sebastopol, CA

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CRD#: 1392866

Professional summary

Kenneth Alan Roberts, CFP® is a registered financial advisor currently at FINANCIAL PATHWAYS located in Sebastopol, California.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Kenneth has worked at 7 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1.FINANCIAL PATHWAYS. NOT INVESTMENT-RELATED. SAME ADDRESS. TAX PREPARATION. OWNER AND TAX CONSULTANT.I BEGAN JANUARY, 1984. AVERAGE 120HRS/MO; 80 HRS/MO DURING TRADING HOURS; PREPARATION OF INCOME TAX RETURNS AND ALL ADMINISTRATIVE DUTIES OF THE BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Alan Roberts's 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

Start date: 1984

Experience

Current

March 7, 2018 - Present

FINANCIAL PATHWAYS

RIA

CRD#: 133906

Sebastopol, CA

Past

January 2, 2009 - June 5, 2009

ASSOCIATED SECURITIES CORP.

CRD#: 12969

SEBASTOPOL, CA

Past

February 7, 1992 - December 31, 2008

FSC SECURITIES CORPORATION

CRD#: 7461

SEBASTOPOL, CA

Past

November 26, 1988 - January 3, 1989

LINCOLN NATIONAL PENSION INSURANCE COMPANY

CRD#: 10293

Past

November 26, 1988 - November 20, 1989

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

December 11, 1985 - February 7, 1992

BRITSON INVESTMENTS, INC.

CRD#: 14328

Past

July 30, 1985 - November 18, 1985

LPL FINANCIAL LLC

CRD#: 6413

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.

Highlighted states indicate IAR registrations

IAR

California
(3/7/2018)

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: 1/22/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/20/1985

General Securities Representative Examination

Current Firm

FINANCIAL PATHWAYS

FINANCIAL PATHWAYS | KENNETH ALAN ROBERTS DBA FINANCIAL PATHWAYS

CRD#: 133906 / SEC#:

California

Registered Investment Advisory firm - (5/28/1986 Approved)

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Contact information

Main Address

Sebastopol, CA

Mailing Address

Phone number

(707) 824-1177

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.

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Kenneth A. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Alan Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL PATHWAYS

ASSOCIATED SECURITIES CORP.

FSC SECURITIES CORPORATION

LINCOLN NATIONAL PENSION INSURANCE COMPANY

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BRITSON INVESTMENTS, INC.

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/22/1993

Series 7

Date: 7/20/1985

Current Firm

FINANCIAL PATHWAYS

Contact information

Documents

Red Flags

Company Information

FINANCIAL PATHWAYS

TRUST BUT VERIFY

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