Chris J. Roe

MAGNOLIA PRIVATE WEALTH

Presto, PA

Some features on this profile are disabled

CRD#: 2865667

Professional summary

Chris Joseph Roe is a registered financial advisor currently at MAGNOLIA PRIVATE WEALTH, LLC located in Presto, Pennsylvania.

Chris is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Chris has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Chris Joseph Roe'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

December 5, 2024 - Present

MAGNOLIA PRIVATE WEALTH, LLC

RIA

CRD#: 324102

Presto, PA

Past

November 5, 2018 - December 31, 2024

RX WEALTH ADVISORS, LLC

RIA

CRD#: 297743

PRESTO, PA

Past

June 30, 2016 - September 17, 2018

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

BRIDGEVILLE, PA

Past

March 1, 2013 - January 2, 2015

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

BRIDGEVILLE, PA

Past

June 7, 2005 - October 1, 2010

FRAGASSO FINANCIAL ADVISORS

RIA

CRD#: 123255

BRIDGEVILLE, PA

Past

October 29, 2004 - January 24, 2022

WALDRON PRIVATE WEALTH

RIA

CRD#: 131063

BRIDGEVILLE, PA

Past

September 10, 2001 - March 12, 2013

LPL FINANCIAL LLC

CRD#: 6413

BRIDGEVILLE, PA

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".

MAGNOLIA PRIVATE WEALTH, LLC

CRD#: 324102 / SEC#: 801-128251

RIA

Registered Investment Advisory firm - (10/13/2023 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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(12/5/2024)

IAR

Texas
(7/29/2025)

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: 10/22/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/26/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/17/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/7/2001

General Securities Representative Examination

Current Firm

MAGNOLIA PRIVATE WEALTH, LLC

CRD#: 324102 / SEC#: 801-128251

RIA

Registered Investment Advisory firm - (10/13/2023 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

1845 Walnut Street Suite 1601, Philadelphia, PA 19103

Mailing Address

Phone number

(571) 477-1375

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV, PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	712
AUM (Assets Under Management)	$ 225,740,627

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Chris J. Roe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chris Joseph Roe's CRS (Customer Relationship Summary).

Certified licenses

Experience

RX WEALTH ADVISORS, LLC

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS

FRAGASSO FINANCIAL ADVISORS

WALDRON PRIVATE WEALTH

LPL FINANCIAL LLC

Primary Firm SEC Registration

MAGNOLIA PRIVATE WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/22/2001

Series 63

Date: 4/26/1997

SIE

Date: 9/17/2018

Series 7

Date: 9/7/2001

Current Firm

MAGNOLIA PRIVATE WEALTH, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAGNOLIA PRIVATE WEALTH, LLC

TRUST BUT VERIFY

Similar Advisors