MR
Michael D. Roberts
THE STRATEGIC FINANCIAL ALLIANCE
Gilbert, AZ
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CRD#: 4700058
MR
Professional summary
Michael David Roberts is a registered financial advisor currently at THE STRATEGIC FINANCIAL ALLIANCE, INC. located in Gilbert, Arizona.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Michael has worked at 10 firms and has passed the Series 66, SIE and Series 7 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.
1.)Oak Wealth Management Investment related 2356 East Willis Road, Gilbert, AZ 85297 DBA for financial services Owner Start Date: 9/2003 16 hrs/month;120 hrs during trading Recommend investments of all nature to clients and sell those investments 2.) Appointment with multiple carriers Not investment related 2356 East Willis Road, Gilbert, AZ 85297 Life insurance and annuity sales agent Start Date: 2003 10 hrs/month;0 hrs during trading hours Market and sell life insurance and annuity products 3.)Mike Roberts Not investment related 2356 E Willis Rd, Gilbert, AZ 85297 Position: Consultant-motion picture & tv industry Start Date: 12/2003 6 hrs/month; 0 hrs during trading Consult with production company regarding budget, film locations, tax incentives and tax credits 4.)Mesa LLC Investment related 1930 Mesquite Ave, Ste 11,Lake Havasu City, AZ 86403 Position: Family LLC; member Start Date: 1/2002 1 hr/month;0 hrs during trading Help with management of family LLC 5.) Knoll Miller & Arenofsky LLP Non-Investment related Trust Administrator Start Date: 6/15/2018 3 hrs/month;0 hrs during trading Gather information on behalf of the estate planning law group, input date in front of client then send to attorney 6.) Champion Health Non Investment Related Start Date: 1/02/2025 Position: Independent Contractor 4 hours per month 0 hours during securities trading hours Help clients join health benefit and receives a commission.
CRS (Client Relationship Summary) - RIA
Click below to view Michael David Roberts's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael David 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®
NoneExperience
Current
April 4, 2023 - Present
THE STRATEGIC FINANCIAL ALLIANCE, INC.
Office #2: 678 Country Club Rd, Suite 100, Eugene, OR 97401RIA
BD
CRD#: 126514
Gilbert, AZ
Current
April 4, 2023 - Present
THE STRATEGIC FINANCIAL ALLIANCE, INC.
Office #2: 678 Country Club Rd, Suite 100, Eugene, OR 97401RIA
BD
CRD#: 126514
Gilbert, AZ
Past
July 17, 2017 - April 6, 2023
TRIAD ADVISORS LLC
RIA
CRD#: 25803
Gilbert, AZ
Past
July 17, 2017 - April 6, 2023
TRIAD ADVISORS LLC
BD
CRD#: 25803
Gilbert, AZ
Past
April 22, 2015 - July 18, 2017
REALTA INVESTMENT ADVISORS, INC
RIA
CRD#: 134952
EUGENE, OR
Past
April 1, 2015 - July 18, 2017
REALTA EQUITIES, INC.
BD
CRD#: 23769
EUGENE, OR
Past
July 17, 2012 - March 27, 2015
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
CHANDLER, AZ
Past
July 16, 2012 - March 27, 2015
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
CHANDLER, AZ
Past
March 20, 2009 - July 19, 2012
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124446
CHANDLER, AZ
Past
June 28, 2007 - July 19, 2012
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
CHANDLER, AZ
Past
January 25, 2007 - June 28, 2007
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
EUGENE, OR
Past
September 8, 2006 - January 19, 2007
CARTER AND CARTER FINANCIAL
RIA
CRD#: 141218
EUGENE, OR
Past
October 1, 2003 - January 23, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
EUGENE, OR
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".
TS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
ADAMS FINANCIAL SERVICES | WELLSPRING ADVISORY SERVICES, LLC | TOM BECK COMPANY | THE STRATEGIC FINANCIAL ALLIARCE | THE STRATEGIC FINANCIAL ALLIANCE, INC. | THE STRATEGIC FINANCIAL ALLIANCE | THE RAPPAHANNOCK WEALTH ADVISORS, INC. | THE BAKER FINANCIAL GROUP, LLC | STARR CAPITAL | SNYDER FINANCIAL GROUP | SHERPA FINANCIAL ADVISORS | RELIANCE ADVISORY SERVICES, INC. | RAUSCH FINANCIAL SERVICES | PRIVATE CLIENT ADVISORY | PREHMUS FINANCIAL PARTNERS | OAK WEALTH MANAGEMENT | O'NEIL FINANCIAL ADVISORS | NORTH GEORGIA WEALTH ADVISORS | NAKAMURA STRATEGIC FINANCIAL PLANNING | MONEY CONCEPTS, INC. | MAIN ADVISORY | LFA PRIVATE WEALTH MANAGEMENT | LEGACY FINANCIAL ASSOCIATES | KOEHN FINANCIAL GROUP | KNIGHT ASSET MANAGEMENT | KJM WEALTH MANAGEMENT | KEOWEE FINANCIAL GROUP, INC. | KEIHATSU WEALTH MANAGEMENT | KEEN ADVISOR GROUP | KEEN & POCOCK | KAP FINANCIAL SOLUTIONS | GROWTHPOINT ADVISORS, LLC | GOLDEN SWORD ALLIANCE | GEORGIA WEALTH PARTNERS | GENCREST CAPITAL PARTNERS | FRANK REYNOLDS AND COMPANY | FINANCIAL PLANNING ADVISORY SERVICE, INC. | ENCORE FINANCIAL CONSULTING | DUNN FINANCIAL SERVICES | DERAND CAPITAL MANAGEMENT GROUP / THE RETIREMENT COACH | DAVIS WEALTH PLANNING | CORRIGAN FINANCIAL | CORNERSTONE WEALTH SERVICES | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | CAROLINA WEALTH ADVISORS | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH MANAGEMENT | CAPITAL INSIGHT GROUP | BOWERS PRIVATE WEALTH MANAGEMENT | BENNCO ADVISORS
CRD#: 126514 / SEC#: 801-62226, 8-65885
RIA
Registered Investment Advisory firm - SEC (7/18/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/3/2025)
RR
Arizona(4/4/2023)
IAR
Arizona(4/4/2023)
RR
California(4/4/2023)
RR
Hawaii(4/5/2023)
RR
Idaho(4/4/2023)
RR
Illinois(9/15/2025)
RR
Minnesota(4/10/2023)
RR
Nevada(4/4/2023)
RR
Oregon(4/12/2023)
IAR
Oregon(1/2/2024)
RR
Texas(4/4/2023)
IAR
Texas(4/4/2023)
RR
Utah(4/4/2023)
RR
Washington(4/4/2023)
RR
Wisconsin(4/4/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
ADAMS FINANCIAL SERVICES | WELLSPRING ADVISORY SERVICES, LLC | TOM BECK COMPANY | THE STRATEGIC FINANCIAL ALLIARCE | THE STRATEGIC FINANCIAL ALLIANCE, INC. | THE STRATEGIC FINANCIAL ALLIANCE | THE RAPPAHANNOCK WEALTH ADVISORS, INC. | THE BAKER FINANCIAL GROUP, LLC | STARR CAPITAL | SNYDER FINANCIAL GROUP | SHERPA FINANCIAL ADVISORS | RELIANCE ADVISORY SERVICES, INC. | RAUSCH FINANCIAL SERVICES | PRIVATE CLIENT ADVISORY | PREHMUS FINANCIAL PARTNERS | OAK WEALTH MANAGEMENT | O'NEIL FINANCIAL ADVISORS | NORTH GEORGIA WEALTH ADVISORS | NAKAMURA STRATEGIC FINANCIAL PLANNING | MONEY CONCEPTS, INC. | MAIN ADVISORY | LFA PRIVATE WEALTH MANAGEMENT | LEGACY FINANCIAL ASSOCIATES | KOEHN FINANCIAL GROUP | KNIGHT ASSET MANAGEMENT | KJM WEALTH MANAGEMENT | KEOWEE FINANCIAL GROUP, INC. | KEIHATSU WEALTH MANAGEMENT | KEEN ADVISOR GROUP | KEEN & POCOCK | KAP FINANCIAL SOLUTIONS | GROWTHPOINT ADVISORS, LLC | GOLDEN SWORD ALLIANCE | GEORGIA WEALTH PARTNERS | GENCREST CAPITAL PARTNERS | FRANK REYNOLDS AND COMPANY | FINANCIAL PLANNING ADVISORY SERVICE, INC. | ENCORE FINANCIAL CONSULTING | DUNN FINANCIAL SERVICES | DERAND CAPITAL MANAGEMENT GROUP / THE RETIREMENT COACH | DAVIS WEALTH PLANNING | CORRIGAN FINANCIAL | CORNERSTONE WEALTH SERVICES | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | CAROLINA WEALTH ADVISORS | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH MANAGEMENT | CAPITAL INSIGHT GROUP | BOWERS PRIVATE WEALTH MANAGEMENT | BENNCO ADVISORS
CRD#: 126514 / SEC#: 801-62226, 8-65885
RIA
Registered Investment Advisory firm - SEC (7/18/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Mailing Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Phone number
(678) 954-4000
Established
Georgia since 02/13/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
63
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SFA HOLDINGS, INC. | SHAREHOLDER | |
| COPELAND, JOSEPH KILLINGSWORTH | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | 6847982 |
| GOLDSMITH, ARTHUR BERTRAM | SVP | 706059 |
| HARRELL, VERONICA RAY | ASSISTANT VICE-PRESIDENT | 5898449 |
| JONES, DEADERICK K | VICE PRESIDENT, CCO | 3029947 |
| SCHROLL, DAVID | VICE-PRESIDENT SUPERVISION | 5055067 |
| SLOVIN, CLIVE | DIRECTOR | 1101301 |
| SULLIVAN, JULIE ANN | PRESIDENT, DIRECTOR | 1112088 |
| TATUM, ANNA ELISE | CFO | 7273094 |
Regulatory assets under management
| Total Number of Accounts | 1,394 |
| AUM (Assets Under Management) | $ 470,940,835 |
Disclosures
| Regulatory Event | 1 |
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.
