Robin S. Roseman
Professional summary
Robin Smith Roseman, who also goes by Robin Renee Smith, is a registered financial advisor currently at SOUTHSTATE ADVISORY, INC. located in Appling, Georgia.
Robin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Robin has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Robin Smith Roseman's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 28, 2017 - Present
SOUTHSTATE ADVISORY, INC.
August 2, 2010 - December 22, 2015
WELLS FARGO CLEARING SERVICES, LLC
February 22, 2005 - July 29, 2010
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - December 22, 2015
WELLS FARGO CLEARING SERVICES, LLC
November 8, 1996 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
July 18, 1996 - November 13, 1996
THE ROBINSON-HUMPHREY COMPANY, LLC
Primary Firm SEC Registration
SOUTHSTATE ADVISORY, INC.
CRD#: 153113 / SEC#: 801-71264
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/28/2017)
Exams
Current Firm
SOUTHSTATE ADVISORY, INC.
CRD#: 153113 / SEC#: 801-71264
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 441 |
| AUM (Assets Under Management) | $ 3,783,729,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 01/26/2024 | ||
| 03/30/2023 |
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.
