Mark E. Roberts

IRONSIDES ASSET ADVISORS

ROCKY MOUNT, NC 27804

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CRD#: 2229420

Professional summary

Mark Ervin Roberts is a registered financial advisor currently at IRONSIDES ASSET ADVISORS, LLC located in Rocky Mount, North Carolina.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Mark has worked at 2 firms and has passed the Series 63 and Series 6 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.

MARK IS SENIOR VICE PRESIDENT OF TUSCARORA COMPANY, LLC. TUSCARORA HAS AN OFFICE BUILDING IT RENTS TO OUTSIDE TENANTS; ADDITIONALLY, IT IS IN THE PRIVATE INVESTMENT BUSINESS AND PROVIDES ADMINISTRATIVE SERVICES TO IRONSIDES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Ervin Roberts'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 9, 2012 - Present

IRONSIDES ASSET ADVISORS, LLC

Office #1: 511 Tarrytown Center, Rocky Mount, NC 27804

RIA

CRD#: 161683

ROCKY MOUNT, NC

Past

April 7, 1992 - September 28, 1993

FPS BROKER SERVICES, INC.

CRD#: 25065

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".

IRONSIDES ASSET ADVISORS, LLC

CRD#: 161683 / SEC#: 801-77838

RIA

Registered Investment Advisory firm - (4/9/2013 Approved)

North Carolina

Registered Investment Advisory firm - (4/16/2013 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).

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

North Carolina
(4/9/2012)

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: 4/6/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 4/6/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

IRONSIDES ASSET ADVISORS, LLC

CRD#: 161683 / SEC#: 801-77838

RIA

Registered Investment Advisory firm - (4/9/2013 Approved)

North Carolina

Registered Investment Advisory firm - (4/16/2013 Terminated)

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Contact information

Main Address

511 Tarrytown Center, Rocky Mount, NC 27804

Mailing Address

Phone number

(252) 443-7041

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IRONSIDES ASSET ADVISORS, LLC (2/19/2025)

Regulatory assets under management

Total Number of Accounts	770
AUM (Assets Under Management)	$ 1,255,894,049

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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Mark E. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Ervin Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

IRONSIDES ASSET ADVISORS, LLC

FPS BROKER SERVICES, INC.

Primary Firm SEC Registration

IRONSIDES ASSET ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/6/1992

Series 6

Date: 4/6/1992

Current Firm

IRONSIDES ASSET ADVISORS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IRONSIDES ASSET ADVISORS, LLC

TRUST BUT VERIFY

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