Paul J. Roberts

SHEPHERD KAPLAN LLC

BOSTON, MA 02109-2820

Some features on this profile are disabled

CRD#: 4404408

Professional summary

Paul Joseph Roberts is a registered financial advisor currently at SHEPHERD KAPLAN LLC located in Boston, Massachusetts.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Paul has worked at 3 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 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.

I*78428 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE CHURCH OF THE ADVENT INVESTMENT RELATED: N ADDRESS OF BUSINESS: 30 BRIMMER STREET, BOSTON, MASSACHUSETTS 2018 NATURE OF BUSINESS: OTHER,CHURCH POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 1/19/2015 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I WILL BE A REPRESENTATIVE OF THE CONGREGATION ON THE GOVERNING BOARD (THE VESTRY) OF THE CHURCH. RESPONSIBILITIES AND TASKS ARE RELATED TO REVIEWING AND APPROVING VARIOUS INITIATIVES AND EXPENSE ITEMS THAT COME BEFORE THE BOARD THROUGHOUT THE YEAR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Joseph 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®

None

Experience

Current

July 21, 2021 - Present

SHEPHERD KAPLAN LLC

Office #1: 53 State Street 23rd Floor, Boston, MA 02109-2820

RIA

CRD#: 128244

BOSTON, MA

Past

April 10, 2015 - November 18, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BOSTON, MA

Past

April 13, 2012 - November 18, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BOSTON, MA

Past

November 9, 2007 - June 19, 2008

SHEPHERD KAPLAN LLC

RIA

CRD#: 128244

BOSTON, MA

Past

September 7, 2001 - September 15, 2003

SENTINEL SECURITIES, LLC.

CRD#: 110942

WAKEFIELD, MA

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".

SHEPHERD KAPLAN LLC

SHEPHERD KAPLAN & ASSOCIATES, LLC | SHEPHERD KAPLAN LLC

CRD#: 128244 / SEC#: 801-62349

RIA

Registered Investment Advisory firm - (10/20/2003 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

Massachusetts
(7/21/2021)

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: 4/9/2015

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/9/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/23/2001

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: 4/12/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/8/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/31/2015

General Securities Principal Examination

Current Firm

SHEPHERD KAPLAN LLC

SHEPHERD KAPLAN & ASSOCIATES, LLC | SHEPHERD KAPLAN LLC

CRD#: 128244 / SEC#: 801-62349

RIA

Registered Investment Advisory firm - (10/20/2003 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

53 State Street 23rd Floor, Boston, MA 02109-2820

Mailing Address

Phone number

(617) 896-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

SHEPHERD KAPLAN FORM ADV PART II (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,351
AUM (Assets Under Management)	$ 9,398,575,271

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

Martin Robbins

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Norwell, MA

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Paul J. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Joseph Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SHEPHERD KAPLAN LLC

SENTINEL SECURITIES, LLC.

Primary Firm SEC Registration

SHEPHERD KAPLAN LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/9/2015

Series 65

Date: 10/9/2003

Series 63

Date: 8/23/2001

SIE

Date: 10/1/2018

Series 7

Date: 4/12/2012

Series 6

Date: 8/8/2001

Series 24

Date: 1/31/2015

Current Firm

SHEPHERD KAPLAN LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHEPHERD KAPLAN LLC

TRUST BUT VERIFY

Similar Advisors