Shawn M. Roberts

SMR STRATEGIC INVESTMENTS

Glen Ellyn, IL

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CRD#: 3272639

Professional summary

Shawn Michael Roberts, CFP® is a registered financial advisor currently at SMR STRATEGIC INVESTMENTS, LLC located in Glen Ellyn, Illinois.

Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Shawn has worked at 4 firms and has passed the Series 66, SIE, Series 55, Series 7, Series 4 and Series 24 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.

SMR Crescent LLC This is a real estate business. I co-own and manage a strip mall. It is 401-421 W. Crescent Blvd., Lombard, IL 60148. I am the President of the LLC. We purchased the building in August 2018. I devote about 8 hours a month to that business. The amount of hours that I devote to that business during trading hours would be estimated at 2 hours per month. My duties Include tenant management, property management, negotiating leases, and paperwork. Glen Ellyn Library Foundation, Assistant Treasurer I assist in investment decisions, as well as helping with financial reports and monitoring donations and expenses. 400 Duane Street, Glen Ellyn, IL 60137 Start Date January 2025 I spend 4 hour per month on my duties. On average, one of those hours is during securities trading hours. This is a volunteer, non-paid position. We help raise money for projects for the Glen Ellyn Public Library.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Michael Roberts'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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

May 20, 2022 - Present

SMR STRATEGIC INVESTMENTS, LLC

RIA

CRD#: 319433

Glen Ellyn, IL

Past

August 10, 2007 - May 18, 2009

GH TRADERS LLC

CRD#: 36665

CHICAGO, IL

Past

February 18, 2005 - February 16, 2007

GH TRADERS LLC

CRD#: 36665

CHICAGO, IL

Past

November 29, 2002 - February 8, 2005

GELBER SECURITIES, LLC

CRD#: 18367

CHICAGO, IL

Past

April 19, 2002 - December 20, 2002

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

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

Illinois
(5/20/2022)

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: 6/21/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/29/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 8/2/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/18/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 5/30/2002

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/9/2002

General Securities Principal Examination

Current Firm

SMR STRATEGIC INVESTMENTS, LLC

SMR INVESTMENTS LLC | SMR STRATEGIC INVESTMENTS, LLC

CRD#: 319433 / SEC#:

Illinois

Registered Investment Advisory firm - (5/18/2022 Approved)

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Contact information

Main Address

Glen Ellyn, IL

Mailing Address

Phone number

(402) 578-7917

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	31
AUM (Assets Under Management)	$ 8,600,000

Red Flags

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Shawn M. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Michael Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

GH TRADERS LLC

GH TRADERS LLC

GELBER SECURITIES, LLC

SECURITIES AMERICA, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/21/2002

SIE

Date: 8/29/2019

Series 55

Date: 8/2/2002

Series 7

Date: 4/18/2002

Series 4

Date: 5/30/2002

Series 24

Date: 5/9/2002

Current Firm

SMR STRATEGIC INVESTMENTS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SMR STRATEGIC INVESTMENTS, LLC

TRUST BUT VERIFY

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