Lance E. Roberts

RIA ADVISORS

Houston, TX 77079

Some features on this profile are disabled

CRD#: 3068207

Professional summary

Lance Eric Roberts, who also goes by Lance Roberts, is a registered financial advisor currently at RIA ADVISORS located in Houston, Texas and SIMPLEVISOR located in Houston, Texas.

Lance is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Lance has worked at 8 firms and has passed the Series 65, Series 63, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lance 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.

1. Lance Roberts is a financial Advisor with RIA Global Research LLC which is a Robo Advisor. His responsibilities include providing financial advice. 35 hours a month is spent on this activity during trading hours. 10 hours a month is spent on this activity outside of trading hours. Compensation based upon dividend distributions based on profitability.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lance Eric Roberts'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 22, 2015 - Present

RIA ADVISORS

Office #1: 11750 Katy Freeway Suite 840, Houston, TX 77079

RIA

CRD#: 150661

Houston, TX

Current

October 15, 2024 - Present

SIMPLEVISOR

Office #1: 11750 Katy Freeway, Ste 840, Houston, TX 77079

RIA

CRD#: 332608

HOUSTON, TX

Past

April 8, 2021 - September 22, 2023

RIA WEALTH ADVISORS, LLC

RIA

CRD#: 312072

ROUND ROCK, TX

Past

February 10, 2010 - December 20, 2010

MEADOWBROOK SECURITIES LLC

CRD#: 10578

HOUSTON, TX

Past

June 23, 2003 - December 3, 2015

AVIDIAN WEALTH SOLUTIONS

RIA

CRD#: 127186

HOUSTON, TX

Past

January 6, 2003 - April 21, 2008

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

HOUSTON, TX

Past

August 10, 2001 - April 21, 2008

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

HOUSTON, TX

Past

May 16, 2001 - August 8, 2001

STANFORD GROUP COMPANY

CRD#: 39285

HOUSTON, TX

Past

April 8, 1999 - May 24, 2001

NELSONREID, INC.

CRD#: 45503

HOUSTON, TX

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".

RIA ADVISORS

CRD#: 150661 / SEC#: 801-77832

RIA

Registered Investment Advisory firm - (4/16/2013 Approved)

Arizona

Registered Investment Advisory firm - (4/23/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (4/25/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (4/23/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/23/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(12/22/2015)

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 65

Date: 6/22/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/19/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 12/20/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/2/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/15/1999

General Securities Principal Examination

Current Firm

RIA ADVISORS

CRD#: 150661 / SEC#: 801-77832

RIA

Registered Investment Advisory firm - (4/16/2013 Approved)

Arizona

Registered Investment Advisory firm - (4/23/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (4/25/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (4/23/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/23/2013 Terminated)

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

11750 Katy Freeway Suite 840, Houston, TX 77079

Mailing Address

Phone number

(281) 501-1791

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 - CLARITY FINANCIAL, LLC (5/5/2025)

Regulatory assets under management

Total Number of Accounts	3,581
AUM (Assets Under Management)	$ 1,530,453,633

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

Troy Wootton

EDWARD JONES

IAR

Sugar Land, TX

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lance E. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lance Eric Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIMPLEVISOR

RIA WEALTH ADVISORS, LLC

MEADOWBROOK SECURITIES LLC

AVIDIAN WEALTH SOLUTIONS

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

STANFORD GROUP COMPANY

NELSONREID, INC.

Primary Firm SEC Registration

RIA ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 6/22/1999

Series 63

Date: 3/19/1999

Series 55

Date: 12/20/1999

Series 7

Date: 3/2/1999

Series 24

Date: 4/15/1999

Current Firm

RIA ADVISORS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIA ADVISORS

TRUST BUT VERIFY

Similar Advisors