RR
Rosemarie R. Robinson
KESTRA ADVISORY SERVICES
ENCINO, CA 91316
Some features on this profile are disabled
CRD#: 2777058
RR
Professional summary
Rosemarie Roth Robinson, who also goes by Mimi Roth Robinson, Rosemarie Ruth Robinson, Mimi Roth, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Encino, California and KESTRA INVESTMENT SERVICES, LLC located in Encino, California.
Rosemarie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Rosemarie has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mimi Roth Robinson | Rosemarie Ruth Robinson | Mimi Roth
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.
Business Name: Roth & Robinson Insurance Services Inc. Investment Related: No Address: 6345 Balboa Blvd. #290 Encino CA 91316 Nature of Business: Insurance Position, Title or Relationship: Other,Moved to Other from Officer Start Date: 1/1/2002 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: administrative Business Name: Rental Property Investment Related: No Address: 37668 Shoreline Place Bass Lake CA 93604 Nature of Business: Real Estate Position, Title or Relationship: The title is under my husband an myself Start Date: 7/15/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: This is Personal property- a vacation home.. we rent out when we're not using it Business Name: FMS Financial Partners, Inc. Investment Related: Yes Address: 6345 Balboa Blvd #290 Encino CA 91316 Nature of Business: Registered Field Assistant; Insurance Position, Title or Relationship: I am an assistant to Leonard Roth Start Date: 1/1/1991 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: I help manage his clients, appointments, forms, processing, service, etc. Business Name: HATHWAY RENTAL LLC POSITION: Owner with my husband NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 7 START DATE: 09/03/2021 ADDRESS: 291 Hathway Avenue, San Luis Obispo CA 93410 DESCRIPTION: Property management Business Name: TERRENCE & ROSEMARIE ROBINSON TRUST POSITION: Trustee NATURE: Legal/Attorney/Trustee/Executor INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 7 START DATE: 01/26/2016 ADDRESS: 24234 Reyes Adobe Way, Valencia CA 91354 DESCRIPTION: Trustee Business Name: SHORELINE PLACE RENTAL LLC POSITION: Owner with my husband NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/03/2023 ADDRESS: 37668 Shoreline Place, Bass Lake CA 93604 DESCRIPTION: We have a property management firm that manages home but I am responsible for payment of all bills. Business Name: LOUISE GRATITUDE LLC POSITION: owner/member of LLC NATURE: partial ownership in residential property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/15/2023 ADDRESS: 12160 Louise Avenue, Granada Hills CA 91344 DESCRIPTION: file tax returns, keep track of any financial records
CRS (Client Relationship Summary) - RIA
Click below to view Rosemarie Roth Robinson's 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®
NoneExperience
Current
May 15, 2019 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 6345 Balboa Blvd. Suite 290, Encino, CA 91316RIA
CRD#: 283330
ENCINO, CA
Current
May 1, 2006 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 6345 Balboa Blvd., Suite 290, Encino, CA 91316BD
CRD#: 42046
Encino, CA
Past
November 18, 1996 - May 3, 2006
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/11/2019)
RR
California(5/1/2006)
IAR
California(5/15/2019)
RR
Colorado(12/20/2024)
RR
Florida(10/22/2025)
RR
Georgia(7/11/2019)
RR
Massachusetts(7/11/2019)
RR
Missouri(2/11/2025)
RR
Nevada(7/11/2019)
RR
New Jersey(7/11/2019)
RR
North Carolina(7/12/2019)
RR
Oregon(4/8/2021)
RR
Pennsylvania(7/11/2019)
RR
Tennessee(9/25/2020)
RR
Utah(1/27/2025)
RR
Vermont(9/15/2023)
RR
Virginia(5/29/2025)
RR
Washington(7/11/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
