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DR

Doris J. Roberts

CH DOUGLAS & GRAY WEALTH MANAGEMENT
Indianapolis, IN 46220-1073
Some features on this profile are disabled
CRD#: 2574594
DR

Professional summary

Doris Jean Roberts, who also goes by Doris Jean Roberts - Everett, Doris Jean Roberts - Piggee, is a registered financial advisor currently at CH DOUGLAS & GRAY WEALTH MANAGEMENT located in Indianapolis, Indiana.

Doris is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Doris has worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6, Series 27 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Doris Jean Roberts - Everett | Doris Jean Roberts - Piggee

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.
CR Williams Merriville, IN Auditor 40 hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Doris Jean 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

May 20, 2011 - Present

CH DOUGLAS & GRAY WEALTH MANAGEMENT

Office #1: 7040 N College Ave, Indianapolis, IN 46220-1073
RIA
CRD#: 142352
Indianapolis, IN
Past

May 3, 2011 - December 28, 2012

RED WING CAPITAL, LLC

BD
CRD#: 149480
INDIANAPOLIS, IN
Past

October 6, 2009 - April 1, 2010

NEW ENGLAND SECURITIES

RIA
CRD#: 615
INDIANAPOLIS, IN
Past

September 4, 2009 - April 1, 2010

NEW ENGLAND SECURITIES

BD
CRD#: 615
INDIANAPOLIS, IN
Past

April 24, 1995 - December 7, 2000

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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".
CD
CH DOUGLAS & GRAY WEALTH MANAGEMENT
CH DOUGLAS & GRAY WEALTH MANAGEMENT | HENDRICKSON, C.H. DOUGLAS AND GRAY, LLC | CH DOUGLAS & GRAY, LLC

CRD#: 142352 / SEC#: 801-121265

RIA
Registered Investment Advisory firm - (5/20/2021 Approved)
Indiana
Registered Investment Advisory firm - (6/1/2021 Terminated)

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
Indiana
(5/20/2011)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/18/2009
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/30/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/20/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/3/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/21/1995
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/26/2011
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/5/1999
Investment Company Products/Variable Contracts Principal Examination

Current Firm

CD
CH DOUGLAS & GRAY WEALTH MANAGEMENT
CH DOUGLAS & GRAY WEALTH MANAGEMENT | HENDRICKSON, C.H. DOUGLAS AND GRAY, LLC | CH DOUGLAS & GRAY, LLC

CRD#: 142352 / SEC#: 801-121265

RIA
Registered Investment Advisory firm - (5/20/2021 Approved)
Indiana
Registered Investment Advisory firm - (6/1/2021 Terminated)
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Contact information

Main Address
7040 N College Ave, Indianapolis, IN 46220-1073
Mailing Address
Phone number
(317) 843-8300
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (4 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

CH DOUGLAS & GRAY, LLC (2/10/2025)

Regulatory assets under management

Total Number of Accounts523
AUM (Assets Under Management)$ 187,193,987

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

CH DOUGLAS & GRAY WEALTH MANAGEMENT

CRD#: 142352Indianapolis, IN 46220-1073

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