Alberta S. Roberts
Professional summary
Alberta Stephens Roberts, who also goes by Alberta Stephens, is a registered financial advisor currently at BANKERS LIFE ADVISORY SERVICES, INC. located in Chicago, Illinois and BANKERS LIFE SECURITIES, INC. located in Chicago, Illinois.
Alberta is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Alberta has worked at 15 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 14, Series 53, Series 24, Series 28 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alberta Stephens Roberts's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 28, 2016 - Present
BANKERS LIFE ADVISORY SERVICES, INC.
Office #1: 303 E. Wacker Drive 5th Fl, Chicago, IL 60601August 19, 2015 - Present
BANKERS LIFE SECURITIES, INC.
Office #1: 303 E Wacker Drive 5th Fl, Chicago, IL 60601March 27, 2014 - November 3, 2014
CROWN STERLING LLC
May 22, 2012 - October 17, 2013
BMO INVESTMENT DISTRIBUTORS, LLC
March 23, 2012 - August 31, 2012
M&I FINANCIAL ADVISORS, INC
February 27, 2012 - November 7, 2012
M&I FINANCIAL ADVISORS, INC
July 2, 2010 - September 30, 2010
AMCORE INVESTMENT SERVICES, INC
July 2, 2010 - November 29, 2010
AMCORE INVESTMENT SERVICES, INC
March 19, 2007 - September 21, 2007
FIRST NATIONAL INVESTMENTS, INC.
November 25, 2005 - October 17, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
November 4, 2005 - October 17, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
November 20, 2002 - December 31, 2005
HARRISDIRECT LLC
May 1, 2002 - December 31, 2005
HARRISDIRECT LLC
April 5, 2002 - May 1, 2002
HARRIS INVESTORLINE INC.
March 26, 2001 - June 24, 2001
FIRST VARIABLE CAPITAL SERVICES, INC.
March 7, 2000 - April 3, 2002
IAC SECURITIES, INC.
August 22, 1997 - September 2, 1998
PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY
November 16, 1995 - March 14, 2000
METROPOLITAN LIFE INSURANCE COMPANY
November 16, 1995 - March 14, 2000
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/9/2015)
(8/26/2015)
(10/2/2015)
(10/6/2015)
(10/5/2015)
(10/2/2015)
(10/8/2015)
(11/5/2015)
(10/1/2015)
(10/19/2015)
(10/9/2015)
(10/19/2015)
(9/29/2015)
(9/29/2015)
(3/28/2016)
(8/25/2015)
(9/30/2015)
(10/8/2015)
(8/25/2015)
(10/9/2015)
(10/2/2015)
(10/9/2015)
(10/21/2015)
(9/30/2015)
(8/24/2015)
(10/9/2015)
(10/9/2015)
(8/24/2015)
(10/15/2015)
(9/30/2015)
(9/28/2015)
(10/9/2015)
(10/7/2015)
(10/26/2015)
(10/6/2015)
(10/6/2015)
(8/27/2015)
(9/30/2015)
(10/20/2015)
(10/6/2015)
(3/26/2024)
(8/25/2015)
(10/20/2015)
(10/9/2015)
(10/22/2015)
(10/6/2015)
(9/30/2015)
(8/31/2015)
(10/5/2015)
(10/2/2015)
(10/26/2015)
(10/9/2015)
(10/5/2015)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 28
Date: 3/15/1996
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
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.
