Brian Patrick Roberts
Professional Summary
Brian Patrick Roberts is a registered financial advisor currently at ROBERTS WEALTH ADVISORS, LLC located in Menlo Park, California. Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Brian has worked at 3 firms.
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.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN SECURITIES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN SECURITIES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN SECURITIES LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
OCCIDENTAL ASSET MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN SECURITIES LLC
Years of Experience
13 years in the financial services industry
Current & Past Employments
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN SECURITIES LLC
Current Firm
ROBERTS WEALTH ADVISORS, LLC
Contact Information
Main Address
611 Santa Cruz Avenue Suite 203, Menlo Park, CA 94025Phone Number
(650) 240-2410# of Employees
6SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
450AUM (Assets Under Management)
$445,994,091Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN SECURITIES LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
ROBERTS WEALTH ADVISORS, LLC
State Registrations and Notice Filings
(11/2/2020)
(1/29/2021)
(3/3/2021)
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.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN SECURITIES LLC
CRS (Client Relationship Summary) - RIA
Click below to view Brian Patrick Roberts's CRS (Customer Relationship Summary).
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN SECURITIES LLC
