Paul E. Roberts
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paul Edward Roberts JR, who also goes by Paul Edward Roberts, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1990. Paul had worked at 15 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2020 - December 31, 2024
RWM CAPITAL, LLC
May 11, 2017 - October 7, 2020
AE WEALTH MANAGEMENT, LLC
May 5, 2015 - May 12, 2017
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
October 25, 2010 - May 5, 2015
HORTER INVESTMENT MANAGEMENT, LLC
June 30, 2009 - November 10, 2010
WOODSTOCK FINANCIAL GROUP, INC.
June 30, 2009 - November 10, 2010
WOODSTOCK FINANCIAL GROUP, INC.
December 19, 2007 - July 17, 2009
HORTER INVESTMENT MANAGEMENT, LLC
August 8, 2007 - December 19, 2007
USA WEALTH MANAGEMENT LLC
August 2, 2007 - December 19, 2007
USA ADVANCED PLANNERS INC.
February 9, 2007 - July 31, 2007
VOYA FINANCIAL ADVISORS, INC.
June 19, 2006 - July 31, 2007
VOYA FINANCIAL ADVISORS, INC.
October 31, 2005 - June 16, 2006
OSAIC SERVICES, INC.
February 18, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
December 12, 2003 - February 4, 2005
FSC SECURITIES CORPORATION
December 8, 2003 - February 4, 2005
FSC SECURITIES CORPORATION
July 25, 2001 - December 11, 2003
LEGG MASON WOOD WALKER, INCORPORATED
February 3, 1999 - July 24, 2001
EDWARD JONES
February 5, 1997 - December 31, 1998
PFS INVESTMENTS INC.
February 6, 1990 - January 1, 1997
AVANTAX INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
RWM CAPITAL, LLC
CRD#: 310635 / SEC#: 801-119513
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RWM CAPITAL, LLC
CRD#: 310635 / SEC#: 801-119513
Contact information
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,096 |
| AUM (Assets Under Management) | $ 161,362,901 |
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.
