Anthony S. Roberts

PROSPERITY ASSET MANAGEMENT

LOUISVILLE, KY 40207

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CRD#: 1891441

Professional summary

Anthony Scott Roberts, who also goes by Tony Roberts, is a registered financial advisor currently at PROSPERITY ASSET MANAGEMENT, LLC located in Louisville, Kentucky.

Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Anthony has worked at 8 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tony 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.

A. ROBERTS & ASSOCIATES, INC.; OWNER/INSURANCE AGENT; Louisville, KY; AGENT LIFE & HEALTH INS SALES WILL CONTINUE TO RECEIVE "VESTED" RENEWALS FROM SAVED BUSINESS; FERS-TSP Strategies LLC; non-investment related; Managing Partner; Louisville KY; personal real estate investments; started 01/2020; less than 5 hours total and during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Scott 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

January 3, 2017 - Present

PROSPERITY ASSET MANAGEMENT, LLC

Office #1: 6009 Brownsboro Park Blvd. Suite A, Louisville, KY 40207

RIA

CRD#: 286028

LOUISVILLE, KY

Past

April 27, 2016 - December 31, 2016

GRADIENT ADVISORS, LLC

RIA

CRD#: 152665

Louisville, KY

Past

February 1, 2005 - October 6, 2008

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LOUISVILLE, KY

Past

March 28, 2003 - April 7, 2004

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

April 9, 1996 - December 31, 2002

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

PETALUMA, CA

Past

February 6, 1995 - April 9, 1996

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

August 15, 1994 - December 31, 1994

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

June 23, 1994 - August 15, 1994

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

November 30, 1988 - May 10, 1994

F & G SECURITIES, INC.

CRD#: 16364

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
(12/6/2019)

IAR

Indiana
(3/2/2017)

IAR

Kentucky
(1/3/2017)

IAR

Ohio
(1/26/2017)

IAR

Texas
(4/2/2025)

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: 11/29/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 11/29/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PROSPERITY ASSET MANAGEMENT, LLC

CRD#: 286028 / SEC#:

Florida

Registered Investment Advisory firm - (12/6/2019 Approved)

Indiana

Registered Investment Advisory firm - (3/2/2017 Approved)

Kentucky

Registered Investment Advisory firm - (1/3/2017 Approved)

Ohio

Registered Investment Advisory firm - (1/26/2017 Approved)

Texas

Registered Investment Advisory firm - (3/26/2025 Conditional Restricted)

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Contact information

Main Address

6009 Brownsboro Park Blvd. Suite A, Louisville, KY 40207

Mailing Address

Phone number

(502) 665-0455

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	661
AUM (Assets Under Management)	$ 41,784,523

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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Anthony S. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Scott Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROSPERITY ASSET MANAGEMENT, LLC

GRADIENT ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

LEGACY FINANCIAL SERVICES, INC.

ADVANTAGE CAPITAL CORPORATION

ADVANTAGE CAPITAL CORPORATION

TOWER SQUARE SECURITIES, INC.

F & G SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/29/1988

Series 6

Date: 11/29/1988

Current Firm

PROSPERITY ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROSPERITY ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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