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BR

Bruce A. Roberts

ROBERTS FINANCIAL SERVICES
MARQUETTE, MI 49855
Some features on this profile are disabled
CRD#: 2345101
BR

Professional summary

Bruce Allan Roberts, CFP® is a registered financial advisor currently at ROBERTS FINANCIAL SERVICES, LLC located in Marquette, Michigan.

Bruce is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Bruce has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.

top-8-questions

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.
1. CIRCLE OF TRUST PROPERTIES, LLC; NOT INVESTMENT-RELATED; 989 W. WASHINGTON ST. STE 101, MARQUETTE, MI 49855; MEMBER; STARTED 07/15/2013; 1 HOUR/ 0 SECURITIES HOURS; THIS LLC OWNS THE BUILDING THAT OUR OFFICE IS IN. VERY GENERAL MANAGER DUTIES, PROPERTY MANAGEMENT DELEGATED TO THIRD PARTY VERIDA, INC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Allan 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®
CFP®

Certified Financial Planner

Start date: 1999

Experience

Current

January 8, 2018 - Present

ROBERTS FINANCIAL SERVICES, LLC

Office #1: 989 West Washington Street Suite 101, Marquette, MI 49855
RIA
CRD#: 289856
MARQUETTE, MI
Past

February 2, 2010 - January 8, 2018

OSAIC SERVICES, INC.

RIA
CRD#: 133763
MARQUETTE, MI
Past

October 31, 2008 - January 8, 2018

OSAIC SERVICES, INC.

BD
CRD#: 133763
MARQUETTE, MI
Past

October 1, 2002 - October 31, 2008

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
MARQUETTE, MI
Past

July 28, 1993 - October 1, 2002

AMERICAN GENERAL EQUITY SERVICES CORPORATION

BD
CRD#: 5435
HOUSTON, TX

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".
RF
ROBERTS FINANCIAL SERVICES, LLC
ERTS WEALTH ADVISORS, LLC | ROBERTS FINANCIAL SERVICES, LLC | ROBERTS FINANCIAL SERVICES | MOMMAERTS MAHANEY FINANCIAL SERVICES

CRD#: 289856 / SEC#: 801-112254

RIA
Registered Investment Advisory firm - (1/2/2018 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.

Highlighted states indicate IAR registrations

IAR
Michigan
(1/8/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/15/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/13/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/8/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/9/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/13/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/12/2008
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/12/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 9/23/1999
Investment Company Products/Variable Contracts Principal Examination

Current Firm

RF
ROBERTS FINANCIAL SERVICES, LLC
ERTS WEALTH ADVISORS, LLC | ROBERTS FINANCIAL SERVICES, LLC | ROBERTS FINANCIAL SERVICES | MOMMAERTS MAHANEY FINANCIAL SERVICES

CRD#: 289856 / SEC#: 801-112254

RIA
Registered Investment Advisory firm - (1/2/2018 Approved)
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Contact information

Main Address
989 West Washington Street Suite 101, Marquette, MI 49855
Mailing Address
Phone number
(906) 228-5564
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (11 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ROBERTS FINANCIAL DISCLOSURE BROCHURE & SUPPLEMENTS (8/26/2025)

Regulatory assets under management

Total Number of Accounts1,532
AUM (Assets Under Management)$ 342,479,628

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

ROBERTS FINANCIAL SERVICES, LLC

CRD#: 289856Marquette, MI 49855

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