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RL

Roberta Lee-driscoll

THE STRATEGIC FINANCIAL ALLIANCE
Honolulu, HI 96813
Some features on this profile are disabled
CRD#: 1837742
RL

Professional summary

Roberta Lee-driscoll, who also goes by Roberta Lee Gavieres, Roberta Lee, Roberta Leedriscoll, Roberta Lee Quenzer, is a registered financial advisor currently at THE STRATEGIC FINANCIAL ALLIANCE, INC. located in Honolulu, Hawaii.

Roberta is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Roberta has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Roberta Lee Gavieres | Roberta Lee | Roberta Leedriscoll | Roberta Lee Quenzer

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.AOAO WARD LANAI, NOT INVESTMENT RELATED, 905 SPENCER STREET, FINANCE COMMITTEE MEMBER- VOLUNTEER POSITION,1999, 1 HOURS/MONTH, 0 DURING TRADING, PRESIDENT. 2.ROBERTA LEE-DRISCOLL, INVESTMENT RELATED, 1188 Bishop Street; #1407; Honolulu; Hawaii; 96813, RIA - FINANCIAL CONSULTING/WRITING/SPEAKING/LITIGATION SUPPORT/MEDIATION/FIXED INSURANCE SALES, OWER/SOLE PROPREITOR, 1988, 25 HOURS/MONTH, 10 DURING TRADING. PROVIDE SERVICES FOR CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roberta Lee-driscoll's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Roberta Lee-driscoll'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®
None

Experience

Current

April 6, 2009 - Present

THE STRATEGIC FINANCIAL ALLIANCE, INC.

Office #1: 1188 Bishop Street Suite 1407, Honolulu, HI 96813
RIA
BD
CRD#: 126514
Honolulu, HI
Current

April 6, 2009 - Present

THE STRATEGIC FINANCIAL ALLIANCE, INC.

Office #1: 1188 Bishop Street Suite 1407, Honolulu, HI 96813
RIA
BD
CRD#: 126514
Honolulu, HI
Past

July 6, 1992 - April 6, 2009

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
HONOLULU, HI
Past

February 7, 1990 - July 6, 1992

KAVANAUGH SECURITIES, INC.

BD
CRD#: 10606
DALLAS, TX
Past

August 25, 1989 - February 13, 1990

FIRST AFFILIATED SECURITIES

BD
CRD#: 23737
LA JOLLA, CA
Past

June 22, 1988 - August 25, 1989

PFG SECURITIES, INC.

BD
CRD#: 15401

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".
TS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
ADAMS FINANCIAL SERVICES | WELLSPRING ADVISORY SERVICES, LLC | TOM BECK COMPANY | THE STRATEGIC FINANCIAL ALLIARCE | THE STRATEGIC FINANCIAL ALLIANCE, INC. | THE STRATEGIC FINANCIAL ALLIANCE | THE RAPPAHANNOCK WEALTH ADVISORS, INC. | THE BAKER FINANCIAL GROUP, LLC | STARR CAPITAL | SNYDER FINANCIAL GROUP | SHERPA FINANCIAL ADVISORS | RELIANCE ADVISORY SERVICES, INC. | RAUSCH FINANCIAL SERVICES | PRIVATE CLIENT ADVISORY | PREHMUS FINANCIAL PARTNERS | OAK WEALTH MANAGEMENT | O'NEIL FINANCIAL ADVISORS | NORTH GEORGIA WEALTH ADVISORS | NAKAMURA STRATEGIC FINANCIAL PLANNING | MONEY CONCEPTS, INC. | MAIN ADVISORY | LFA PRIVATE WEALTH MANAGEMENT | LEGACY FINANCIAL ASSOCIATES | KOEHN FINANCIAL GROUP | KNIGHT ASSET MANAGEMENT | KJM WEALTH MANAGEMENT | KEOWEE FINANCIAL GROUP, INC. | KEIHATSU WEALTH MANAGEMENT | KEEN ADVISOR GROUP | KEEN & POCOCK | KAP FINANCIAL SOLUTIONS | GROWTHPOINT ADVISORS, LLC | GOLDEN SWORD ALLIANCE | GEORGIA WEALTH PARTNERS | GENCREST CAPITAL PARTNERS | FRANK REYNOLDS AND COMPANY | FINANCIAL PLANNING ADVISORY SERVICE, INC. | ENCORE FINANCIAL CONSULTING | DUNN FINANCIAL SERVICES | DERAND CAPITAL MANAGEMENT GROUP / THE RETIREMENT COACH | DAVIS WEALTH PLANNING | CORRIGAN FINANCIAL | CORNERSTONE WEALTH SERVICES | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | CAROLINA WEALTH ADVISORS | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH MANAGEMENT | CAPITAL INSIGHT GROUP | BOWERS PRIVATE WEALTH MANAGEMENT | BENNCO ADVISORS

CRD#: 126514 / SEC#: 801-62226, 8-65885

RIA
Registered Investment Advisory firm - SEC (7/18/2003 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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.
RR
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

RR
Alabama
(6/28/2022)
RR
California
(4/6/2009)
RR
Colorado
(4/6/2009)
RR
Florida
(11/29/2017)
RR
Georgia
(12/15/2017)
RR
Hawaii
(4/6/2009)
IAR
Hawaii
(4/6/2009)
RR
New Mexico
(5/27/2009)
RR
New York
(6/30/2022)
RR
North Carolina
(6/30/2022)
RR
Oregon
(4/6/2009)
RR
Washington
(4/6/2009)
RR
Wisconsin
(6/28/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/12/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/5/1990
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
ADAMS FINANCIAL SERVICES | WELLSPRING ADVISORY SERVICES, LLC | TOM BECK COMPANY | THE STRATEGIC FINANCIAL ALLIARCE | THE STRATEGIC FINANCIAL ALLIANCE, INC. | THE STRATEGIC FINANCIAL ALLIANCE | THE RAPPAHANNOCK WEALTH ADVISORS, INC. | THE BAKER FINANCIAL GROUP, LLC | STARR CAPITAL | SNYDER FINANCIAL GROUP | SHERPA FINANCIAL ADVISORS | RELIANCE ADVISORY SERVICES, INC. | RAUSCH FINANCIAL SERVICES | PRIVATE CLIENT ADVISORY | PREHMUS FINANCIAL PARTNERS | OAK WEALTH MANAGEMENT | O'NEIL FINANCIAL ADVISORS | NORTH GEORGIA WEALTH ADVISORS | NAKAMURA STRATEGIC FINANCIAL PLANNING | MONEY CONCEPTS, INC. | MAIN ADVISORY | LFA PRIVATE WEALTH MANAGEMENT | LEGACY FINANCIAL ASSOCIATES | KOEHN FINANCIAL GROUP | KNIGHT ASSET MANAGEMENT | KJM WEALTH MANAGEMENT | KEOWEE FINANCIAL GROUP, INC. | KEIHATSU WEALTH MANAGEMENT | KEEN ADVISOR GROUP | KEEN & POCOCK | KAP FINANCIAL SOLUTIONS | GROWTHPOINT ADVISORS, LLC | GOLDEN SWORD ALLIANCE | GEORGIA WEALTH PARTNERS | GENCREST CAPITAL PARTNERS | FRANK REYNOLDS AND COMPANY | FINANCIAL PLANNING ADVISORY SERVICE, INC. | ENCORE FINANCIAL CONSULTING | DUNN FINANCIAL SERVICES | DERAND CAPITAL MANAGEMENT GROUP / THE RETIREMENT COACH | DAVIS WEALTH PLANNING | CORRIGAN FINANCIAL | CORNERSTONE WEALTH SERVICES | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | CAROLINA WEALTH ADVISORS | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH MANAGEMENT | CAPITAL INSIGHT GROUP | BOWERS PRIVATE WEALTH MANAGEMENT | BENNCO ADVISORS

CRD#: 126514 / SEC#: 801-62226, 8-65885

RIA
Registered Investment Advisory firm - SEC (7/18/2003 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Mailing Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Phone number
(678) 954-4000
Established
Georgia since 02/13/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
63

SEC notice filing (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV PART 2A APPENDIX 1 THE STRATEGIC CHOICE PROGRAM WRAP BROCHURE (3/31/2025)
ADV PART 2A DISCLOSURE BROCHURE (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
SFA HOLDINGS, INC.SHAREHOLDER
COPELAND, JOSEPH KILLINGSWORTHVICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY6847982
GOLDSMITH, ARTHUR BERTRAMSVP706059
HARRELL, VERONICA RAYASSISTANT VICE-PRESIDENT5898449
JONES, DEADERICK KVICE PRESIDENT, CCO3029947
SCHROLL, DAVIDVICE-PRESIDENT SUPERVISION5055067
SLOVIN, CLIVEDIRECTOR1101301
SULLIVAN, JULIE ANNPRESIDENT, DIRECTOR1112088
TATUM, ANNA ELISECFO7273094

Regulatory assets under management

Total Number of Accounts1,394
AUM (Assets Under Management)$ 470,940,835

Disclosures

Regulatory Event1

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

THE STRATEGIC FINANCIAL ALLIANCE, INC.

CRD#: 126514Honolulu, HI 96813

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