ALFRED S. ROBERTS

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CRD#: 2949885

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.

ALFRED STEPHEN ROBERTS, CFP®, who also goes by Steve Roberts, was a registered financial professional .

ALFRED is a previously registered financial professional and started their career in finance in 1997. ALFRED had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.

Biography

Steve started his career in financial services in 1997. Steve is a veteran in the industry having attained his CFP® certification while at Brown & Tedstrom in Denver, CO. He then joined USAA as a Financial Planner and held roles in executive management. In 2009, Steve became owner, President and Chief Compliance Officer of CCP, Inc. Steve has long held a passion for financial planning and portfolio management. That passion fuels a belief that strong relationships, thoughtful consideration and direct guidance can help our clients achieve success in their financial journey. Steve received his undergraduate degree from Indiana University and an MBA from DePaul University. Steve, his wife and three children reside in the suburbs of Chicago.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Retirement Planning

Investment Planning

What is your minimum asset requirement?

500K

Are you a "fiduciary"?

Aliases

Steve Roberts

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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Past

February 21, 2020 - January 13, 2025

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

Middleton, WI

Past

July 17, 2009 - June 11, 2020

CCP, INC

RIA

CRD#: 109692

PALATINE, IL

Past

January 2, 2009 - July 6, 2009

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

SAN ANTONIO, TX

Past

October 1, 2007 - December 31, 2008

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

SAN ANTONIO, TX

Past

October 1, 2007 - December 31, 2007

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

SAN ANTONIO, TX

Past

October 7, 2005 - October 1, 2007

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

SAN ANTONIO, TX

Past

October 7, 2005 - July 6, 2009

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

SAN ANTONIO, TX

Past

October 12, 1998 - September 26, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

September 30, 1997 - March 3, 1998

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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".

MERCER GLOBAL ADVISORS INC.

MERCER ADVISORS | MERCER GLOBAL ADVISORS INC.

CRD#: 147363 / SEC#: 801-69271

RIA

Registered Investment Advisory firm - (5/30/2008 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

Series 63

Date: 10/7/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/27/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/15/2006

General Securities Principal Examination

Current Firm

MERCER GLOBAL ADVISORS INC.

MERCER ADVISORS | MERCER GLOBAL ADVISORS INC.

CRD#: 147363 / SEC#: 801-69271

RIA

Registered Investment Advisory firm - (5/30/2008 Approved)

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Contact information

Main Address

1200 17th Street Suite 2000, Denver, CO 80202

Mailing Address

Phone number

(888) 885-8101

Established

Firm type

Fiscal year end

# of Employees

1,166

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MERCER GLOBAL ADVISORS INC. ADV PART 2A AUGUST 21 2025 (8/21/2025)

Regulatory assets under management

Total Number of Accounts	99,044
AUM (Assets Under Management)	$ 60,256,270,580

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/29/2025	Cover Page	Report
07/31/2024	Cover Page	Report
09/28/2023	Cover Page	Report
12/07/2022	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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ALFRED S. ROBERTS

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CCP, INC

USAA FINANCIAL PLANNING SERVICES

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

LPL FINANCIAL LLC

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

MERCER GLOBAL ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/7/1997

Series 7

Date: 9/27/1997

Series 24

Date: 11/15/2006

Current Firm

MERCER GLOBAL ADVISORS INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MERCER GLOBAL ADVISORS INC.

TRUST BUT VERIFY

Contact information

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