JR
James A. Roberts
TLG ADVISORS
Excelsior, MN 55331
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CRD#: 1872867
JR
Professional summary
James Allan Roberts, who also goes by Jim Roberts, is a registered financial advisor currently at TLG ADVISORS, INC. located in Excelsior, Minnesota and THE LEADERS GROUP, INC. located in Summit, New Jersey.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. James has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim 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.
1.) CHILDREN'S HOME SOCIETY INVESTMENT ENDOWMENT COMMITTEE - 1/1/2007 - Various - Committee Member, overseeing endowment investment strategies and activities, participating in committee overseeing endowment investment assets, Invt Rel, 1 hrs/mo; 1 hrs/mo (during trading hours). 2.) GUSTAVUS ADOLPHUS COLLEGE ENDWOMENT INVESTMENT - 1/1/2004 - Various - Committee Member, review positioning, performance, and future investment strategies for endowment fund, participate in investment committee oversight of gac endowment assets, Invt Rel, 5 hrs/mo; 5 hrs/mo (during trading hours). 3.) INTERA CAPITAL PARTNERS, LLC - 6/18/2019 - 350 Highway 7, #135 Excelsior, Minnesota 55331 - President, 100% Owner, presenting investment offerings to prospects, providing client service, administering the business affairs of the firm, institutional investment sales and service, Invt Rel, 160 hrs/mo; 160 hrs/mo (during trading hours). 4.) TLG ADVISORS, INC. - 9/30/2011 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, IAR Business, 10 hrs/mo; 10 hrs/mo (during trading hours). 5.) IBORROW - 10/3/2024 - 350 Highway 7, Suite #135 Excelsior, MN 55331 - Advisor, Advise Loan origination and servicer firm iBorrow regarding Insurance investors interest in accessing real estate loan assets, 10 hrs/mo; 10 hrs/mo (during trading hours).
CRS (Client Relationship Summary) - RIA
Click below to view James Allan 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®
NoneExperience
Current
September 30, 2011 - Present
TLG ADVISORS, INC.
Office #1: 350 Hwy 7 Suite 135, Excelsior, MN 55331RIA
CRD#: 111052
Excelsior, MN
Current
September 30, 2011 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901BD
CRD#: 37157
Summit, NJ
Past
April 19, 2005 - July 15, 2011
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
MINNEAPOLIS, MN
Past
December 11, 2000 - July 15, 2011
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
MINNEAPOLIS, MN
Past
September 30, 1997 - December 8, 2000
COLLIERS SECURITIES LLC
BD
CRD#: 7477
MINNEAPOLIS, MN
Past
May 2, 1997 - September 30, 1997
DOUGHERTY DAWKINS LLC
BD
CRD#: 7442
MINNEAPOLIS, MN
Past
January 15, 1993 - May 13, 1997
VOYAGEUR INVESTMENTS, INC.
BD
CRD#: 22544
Past
June 24, 1991 - January 4, 1993
MARQUETTE FINANCIAL SERVICES, INC.
BD
CRD#: 17109
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".
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
Registered Investment Advisory firm - (8/6/2001 Approved)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
Delaware(1/4/2016)
RR
Minnesota(9/30/2011)
IAR
Minnesota(1/2/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
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Contact information
Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
Phone number
(888) 371-0013
Established
Firm type
Fiscal year end
# of Employees
280
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
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.
