David R. Roberts

GRIMES & COMPANY

Bradenton, FL

Some features on this profile are disabled

CRD#: 4009631

Professional summary

David Richard Roberts, CFP® is a registered financial advisor currently at GRIMES & COMPANY located in Bradenton, Florida.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. David has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 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 David Richard 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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

April 30, 2021 - Present

GRIMES & COMPANY

RIA

CRD#: 109420

Bradenton, FL

Past

April 27, 2006 - January 11, 2021

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

SARASOTA, FL

Past

June 26, 2003 - December 31, 2020

TD AMERITRADE, INC.

RIA

CRD#: 7870

Sarasota, FL

Past

October 13, 1999 - December 31, 2020

TD AMERITRADE, INC.

CRD#: 7870

Sarasota, FL

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".

GRIMES & COMPANY

GRIMES & CO INC | GRIMES & COMPANY, LLC | GRIMES & COMPANY, INC. | GRIMES & COMPANY WEALTH MANAGEMENT, LLC | GRIMES & COMPANY

CRD#: 109420 / SEC#: 801-57193

RIA

Registered Investment Advisory firm - (1/28/2000 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

Florida
(5/12/2021)

IAR

Texas
(4/30/2021)

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: 6/17/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/1/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/12/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/15/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/15/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

GRIMES & COMPANY

GRIMES & CO INC | GRIMES & COMPANY, LLC | GRIMES & COMPANY, INC. | GRIMES & COMPANY WEALTH MANAGEMENT, LLC | GRIMES & COMPANY

CRD#: 109420 / SEC#: 801-57193

RIA

Registered Investment Advisory firm - (1/28/2000 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

One Technology Drive Suite 100, Westborough, MA 01581

Mailing Address

Phone number

(508) 366-3883

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GRIMES & COMPANY WEALTH MANAGEMENT, LLC (11/3/2025)

Regulatory assets under management

Total Number of Accounts	9,415
AUM (Assets Under Management)	$ 5,592,556,041

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

David R. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Richard Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

Primary Firm SEC Registration

GRIMES & COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 6/17/2003

Series 63

Date: 11/1/1999

SIE

Date: 10/1/2018

Series 7

Date: 10/12/1999

Series 10

Date: 5/15/2002

Series 9

Date: 5/15/2002

Current Firm

GRIMES & COMPANY

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRIMES & COMPANY

TRUST BUT VERIFY

Similar Advisors