Scott B. Roberts

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CRD#: 2589977

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.

Scott Brian Roberts, CLU® was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1995. Scott had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

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®

CLU^®

Chartered Life Underwriter

Experience

Past

April 13, 2011 - October 16, 2014

WELLSPRING WEALTH MANAGEMENT LLC

RIA

CRD#: 134834

DEERFIELD BEACH, FL

Past

September 29, 2009 - December 18, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

FT LAUDERDALE, FL

Past

September 8, 2009 - October 27, 2014

LPL FINANCIAL LLC

CRD#: 6413

FT LAUDERDALE, FL

Past

October 27, 2005 - March 9, 2009

MEADOWBROOK SECURITIES LLC

CRD#: 10578

FT. LAUDERDALE, FL

Past

June 21, 2005 - March 17, 2009

WELLSPRING WEALTH MANAGEMENT LLC

RIA

CRD#: 134834

FT. LAUDERDALE, FL

Past

June 17, 2004 - October 13, 2009

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA

CRD#: 104790

FT. LAUDERDALE, FL

Past

June 14, 2004 - September 8, 2009

ASSOCIATED SECURITIES CORP.

CRD#: 12969

FT. LAUDERDALE, FL

Past

September 1, 2000 - June 10, 2004

WS GRIFFITH SECURITIES, INC.

RIA

CRD#: 10410

FT LAUDERDALE, FL

Past

September 1, 2000 - June 10, 2004

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

July 21, 2000 - September 5, 2000

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

April 21, 1995 - December 8, 1995

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

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".

WELLSPRING WEALTH MANAGEMENT LLC

CRD#: 134834 / SEC#: 801-64350

RIA

Registered Investment Advisory firm - (6/20/2005 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.

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

IAR

Series 66

Date: 8/4/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/17/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/27/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/10/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/17/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WELLSPRING WEALTH MANAGEMENT LLC

CRD#: 134834 / SEC#: 801-64350

RIA

Registered Investment Advisory firm - (6/20/2005 Approved)

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Contact information

Main Address

11720 Amber Park Drive Suite 150, Alpharetta, GA 30009-2276

Mailing Address

Phone number

(770) 410-4088

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - APPENDIX 1 (3/27/2025)

WELLSPRING WEALTH MANAGEMENT ADV 2A ADVISORY (3/27/2025)

Regulatory assets under management

Total Number of Accounts	641
AUM (Assets Under Management)	$ 498,151,872

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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Advisor Monitoring

Firm Stability Insights

Scott B. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MEADOWBROOK SECURITIES LLC

WELLSPRING WEALTH MANAGEMENT LLC

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

ASSOCIATED SECURITIES CORP.

WS GRIFFITH SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL SECURITIES INCORPORATED

Primary Firm SEC Registration

WELLSPRING WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/4/2000

Series 63

Date: 2/17/1995

SIE

Date: 10/27/2014

Series 7

Date: 7/10/2000

Series 6

Date: 2/17/1995

Current Firm

WELLSPRING WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WELLSPRING WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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