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Robert R. Roberti

Some features on this profile are disabled
CRD#: 2372968
RR

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.

Robert Raymond Roberti, who also goes by Bob Roberti, Bobby Roberti, Robert Raymong Roberti, Robert R Roberti, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Roberti | Bobby Roberti | Robert Raymong Roberti | Robert R Roberti

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 25, 2025 - February 12, 2026

NEW AGE ALPHA

RIA
CRD#: 299011
Frisco, TX
Past

September 23, 2025 - February 2, 2026

ULTIMUS FUND DISTRIBUTORS, LLC

BD
CRD#: 104177
CINCINNATI, OH
Past

February 3, 2012 - September 19, 2024

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
FRISCO, TX
Past

February 3, 2012 - September 19, 2024

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
FRISCO, TX
Past

June 1, 2009 - February 16, 2012

MORGAN STANLEY

RIA
CRD#: 149777
PLANO, TX
Past

June 1, 2009 - February 16, 2012

MORGAN STANLEY

BD
CRD#: 149777
PLANO, TX
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
PLANO, TX
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
PLANO, TX
Past

July 1, 1998 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
DALLAS, TX
Past

June 30, 1998 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
DALLAS, TX
Past

August 13, 1993 - June 8, 1998

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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".
NA
NEW AGE ALPHA
ALPHA BUILDING BLOCKS ADVISORS, LLC | URS ADVISORS, LLC | NEW AGE ALPHA ADVISORS, LLC | NEW AGE ALPHA | NAA

CRD#: 299011 / SEC#: 801-116789

RIA
Registered Investment Advisory firm - (6/14/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/31/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/20/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 12/15/1995
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/11/1993
General Securities Representative Examination

Current Firm

NA
NEW AGE ALPHA
ALPHA BUILDING BLOCKS ADVISORS, LLC | URS ADVISORS, LLC | NEW AGE ALPHA ADVISORS, LLC | NEW AGE ALPHA | NAA

CRD#: 299011 / SEC#: 801-116789

RIA
Registered Investment Advisory firm - (6/14/2019 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
555 Theodore Fremd Avenue Suite A-101, Rye, NY 10580
Mailing Address
Phone number
(212) 922-2699
Established
Firm type
Fiscal year end
# of Employees
42

SEC notice filing (5 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

NEW AGE ALPHA ADVISORS, LLC - FIRM BROCHURE (2/18/2026)

Regulatory assets under management

Total Number of Accounts38
AUM (Assets Under Management)$ 2,510,336,547

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

NEW AGE ALPHA

CRD#: 299011

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Contact information

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