G A. Roberts
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.
G Allen Roberts, who also goes by Allen Roberts, G Allen Roberts, G Roberts, G. Allen Roberts, G. Allen Roberts, George Allen Roberts, was a registered financial professional .
G is a previously registered financial professional and started their career in finance in 1972. G had worked at 28 firms and has passed the Series 63, SIE, Series 6, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2018 - September 6, 2018
PRINCIPAL SECURITIES, INC.
March 27, 2015 - April 29, 2015
OSAIC SERVICES, INC.
March 9, 2015 - April 29, 2015
OSAIC SERVICES, INC.
August 22, 2014 - February 9, 2015
SILVER OAK SECURITIES, INCORPORATED
August 22, 2014 - February 9, 2015
SILVER OAK SECURITIES, INCORPORATED
July 25, 2014 - August 13, 2014
WILBANKS SECURITIES ADVISORY
June 24, 2014 - August 13, 2014
WILBANKS SECURITIES, INC.
February 4, 2014 - May 19, 2014
CETERA INVESTMENT ADVISERS LLC
January 30, 2014 - May 19, 2014
CETERA FINANCIAL SPECIALISTS LLC
January 3, 2012 - November 15, 2012
RESOURCE HORIZONS INVESTMENT ADVISORY, INC.
December 2, 2011 - November 15, 2012
RESOURCE HORIZONS GROUP LLC
August 11, 2011 - September 19, 2011
SECURITIES AMERICA, INC.
September 9, 2010 - September 28, 2010
VALIC FINANCIAL ADVISORS, INC.
September 7, 2010 - September 28, 2010
VALIC FINANCIAL ADVISORS, INC.
January 13, 2009 - April 27, 2010
OSAIC FA, INC.
January 13, 2009 - April 27, 2010
OSAIC FA, INC.
October 24, 2007 - January 29, 2008
ALLSTATE FINANCIAL SERVICES, LLC
July 20, 2005 - December 31, 2005
ON INVESTMENT MANAGEMENT CO
July 20, 2005 - December 31, 2005
THE O.N. EQUITY SALES COMPANY
August 20, 2004 - October 19, 2004
THE LEADERS GROUP, INC.
September 9, 2003 - August 26, 2004
METROPOLITAN LIFE INSURANCE COMPANY
September 9, 2003 - August 26, 2004
MSI FINANCIAL SERVICES, INC.
May 28, 2002 - August 11, 2003
SECURITIES AMERICA ADVISORS, INC.
January 3, 2002 - August 11, 2003
SECURITIES AMERICA, INC.
August 1, 2001 - November 5, 2001
METROPOLITAN LIFE INSURANCE COMPANY
August 1, 2001 - November 5, 2001
MSI FINANCIAL SERVICES, INC.
October 19, 2000 - July 31, 2001
SIGNATOR INVESTORS, INC.
October 29, 1999 - October 10, 2000
SECURITIES AMERICA, INC.
July 28, 1999 - November 8, 1999
PRINCIPAL SECURITIES, INC.
January 27, 1998 - March 19, 1999
FSC SECURITIES CORPORATION
October 20, 1997 - January 8, 1998
TRANSAMERICA FINANCIAL ADVISORS, INC.
January 2, 1997 - October 14, 1997
MONY SECURITIES CORPORATION
February 19, 1992 - June 20, 1995
OSAIC FA, INC.
February 19, 1992 - March 19, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 20, 1991 - February 12, 1992
NYLIFE SECURITIES LLC
February 28, 1990 - November 7, 1991
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 28, 1990 - November 7, 1991
OSAIC FA, INC.
January 2, 1990 - March 7, 1990
NEW ENGLAND SECURITIES
December 23, 1982 - December 2, 1989
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 17, 1982 - December 29, 1982
THE ROBINSON-HUMPHREY COMPANY, LLC
February 11, 1972 - March 25, 1982
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 11, 1972 - March 25, 1982
OSAIC FA, INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 2/9/1972
Registered Representative ExaminationCurrent Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
