Patrick F. Roberts

P.F. ROBERTS & ASSOCIATES

Islamorada, FL

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CRD#: 1426307

Professional summary

Patrick Francis Roberts is a registered financial advisor currently at P.F. ROBERTS & ASSOCIATES located in Islamorada, Florida.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Patrick has worked at 6 firms and has passed the Series 63, Series 7, Series 10 and Series 9 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Francis 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®

None

Experience

Current

February 18, 2010 - Present

P.F. ROBERTS & ASSOCIATES

RIA

CRD#: 151711

Islamorada, FL

Past

August 12, 2009 - November 2, 2009

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

HOLLYWOOD, FL

Past

December 10, 2001 - October 13, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

HOLLYWOOD, FL

Past

December 10, 2001 - November 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

HOLLYWOOD, FL

Past

January 31, 2001 - December 20, 2001

HAPOALIM SECURITIES USA, INC.

CRD#: 266

NEW YORK, NY

Past

November 14, 1990 - January 31, 2001

HERZOG, HEINE, GEDULD, LLC

CRD#: 2186

NEW YORK, NY

Past

November 20, 1985 - November 23, 1990

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

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

Florida
(2/18/2010)

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: 12/4/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/16/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/13/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/9/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

P.F. ROBERTS & ASSOCIATES

P.F. ROBERTS & ASSOCIATES | SPARTAN CAPITAL MANAGEMENT, INC.

CRD#: 151711 / SEC#: 801-70664

RIA

Registered Investment Advisory firm - (8/28/2012 Terminated)

Florida

Registered Investment Advisory firm - (8/23/2012 Approved)

Louisiana

Registered Investment Advisory firm - (1/4/2017 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).

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Contact information

Main Address

Islamorada, FL

Mailing Address

Phone number

(954) 454-7028

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	71
AUM (Assets Under Management)	$ 73,984,617

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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Firm Stability Insights

Patrick F. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Francis Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

HAPOALIM SECURITIES USA, INC.

HERZOG, HEINE, GEDULD, LLC

THE STUART-JAMES COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 12/4/1985

Series 7

Date: 11/16/1985

Series 10

Date: 4/13/2002

Series 9

Date: 4/9/2002

Current Firm

P.F. ROBERTS & ASSOCIATES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

P.F. ROBERTS & ASSOCIATES

TRUST BUT VERIFY

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