Paul Joseph Roberts
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
SHEPHERD KAPLAN & ASSOCIATES, LLC | SHEPHERD KAPLAN LLC
Contact Information
Main Address
53 State Street 23rd Floor, Boston, MA 02109-2820Phone Number
(617) 896-1600# of Employees
42SEC notice filing (10 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
1,389AUM (Assets Under Management)
$10,157,050,719Similar Advisors
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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.
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Primary Firm SEC Registration
SHEPHERD KAPLAN & ASSOCIATES, LLC | SHEPHERD KAPLAN LLC
State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 2001About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Paul Joseph Roberts's CRS (Customer Relationship Summary).
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