AR
Atricia J. Roberts
KESTRA ADVISORY SERVICES
CHEVY CHASE, MD 20815
Some features on this profile are disabled
CRD#: 4763473
AR
Professional summary
Atricia Jernell Roberts is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Chevy Chase, Maryland and KESTRA INVESTMENT SERVICES, LLC located in Rockville, Maryland.
Atricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Atricia has worked at 3 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.
Name: Bernard R. Wolfe & Associates Investment Related: Yes Address: 5550 Friendship Boulevard Ste. 570 Chevy Chase MD 20815 Nature of Business: Registered Field Assistant Position, Title or Relationship: Client Associate Start Date: 5/30/2017 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: Manage client needs regarding service, trading, problem resolution and processing issues. Prepare reports and information for client meetings. Participate in client meetings with Lead Advisor. Client case design and financial plan development. Analyzing asset allocation and generating rebalancing trades. Serve as quality control point to ensure that all calls, paperwork, policy and procedures for customer requests have been adhered to in accordance with compliance requirements. Ability to manage and prioritize multiple and competing priorities on a daily basis in pursuit of business objectives. Interfaces with the broker-dealer or custodian to open new accounts, update account information, fill out necessary forms and perform routine tasks such as updating mailing or other instructions. Name: ATRICIA J. ROBERTS POSITION: Property owner NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/10/2020 ADDRESS: 1 Barons Way, Savannah GA 31419 DESCRIPTION: n/a Name: CURO PRIVATE WEALTH POSITION: Operations Director NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 119 START DATE: 05/13/2022 ADDRESS: 6116 Executive Blvd., Ste. 410, Rockville MD 20852 DESCRIPTION: Manage client needs regarding service, trading, problem resolution and processing issues. Manage inbound calls and emails generated by a book of clients and takes responsibility for proactive outreach to clients. Prepare for client meetings. Participate in client meetings with Lead Advisor. Client case design and financial plan development. Analyzing asset allocation and generating rebalancing trades. Oversee client service operations team and serve as quality control point to ensure that all calls, paperwork, policy and procedures for customer requests have been adhered to in accordance with compliance requirements. Able to identify opportunities, issues and viable alternatives when traditional solutions do not apply. Ability to manage and prioritize multiple and competing priorities on a daily basis in pursuit of business objectives. Interfaces with the broker-dealer or custodian to open new accounts, update account information. Name: KESTRA ADVISORY SERVICES POSITION: Investment Advisor Representative NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/18/2023 ADDRESS: 5707 Southwest Parkway, Bldg. 2 Ste. 400, Austin TX 78735 DESCRIPTION: Responsible for managing existing client relationships and formulating and implementing advice. Serves the firm as a business developer and is responsible for attracting new client relationships to the firm. Oversees and trains other advisors and staff. oversees and directs the firm's client service and operations functions. Name: CURO PRIVATE WEALTH POSITION: COO & Partner NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 119 START DATE: 05/13/2022 ADDRESS: 6116 Executive Blvd., Ste. 410, Rockville MD 20852, United States DESCRIPTION: Oversee client service operations. Lead Advisor for the firm's clients, partners with CEO on practice management
CRS (Client Relationship Summary) - RIA
Click below to view Atricia Jernell 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
July 18, 2019 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 5550 Friendship Blvd Ste 570, Chevy Chase, MD 20815RIA
CRD#: 283330
CHEVY CHASE, MD
Current
November 30, 2017 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 6116 Executive Boulevard Ste. 410, Rockville, MD 20852Office #2: 11710 Plaza America Dr Ste 2000, Reston, VA 20190BD
CRD#: 42046
Rockville, MD
Past
February 22, 2006 - March 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAVANNAH, GA
Past
February 8, 2006 - March 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAVANNAH, GA
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.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(6/16/2023)
RR
Arizona(6/11/2025)
RR
Arkansas(6/16/2023)
RR
California(6/16/2023)
RR
Colorado(6/15/2023)
RR
District of Columbia(6/15/2023)
RR
Florida(6/15/2023)
RR
Georgia(6/16/2023)
RR
Illinois(6/16/2023)
RR
Indiana(6/16/2023)
RR
Maryland(7/18/2019)
IAR
Maryland(7/18/2019)
RR
Massachusetts(6/16/2023)
RR
Mississippi(6/16/2023)
RR
Montana(6/16/2023)
RR
Nevada(11/8/2024)
RR
New Jersey(6/16/2023)
RR
New York(6/16/2023)
RR
North Carolina(6/16/2023)
RR
Ohio(6/15/2023)
RR
Oregon(5/24/2024)
RR
Pennsylvania(6/16/2023)
RR
Rhode Island(11/21/2023)
RR
South Carolina(6/16/2023)
RR
Tennessee(6/16/2023)
IAR
Texas(6/15/2023)
RR
Texas(6/16/2023)
RR
Virginia(6/16/2023)
RR
Washington(6/16/2023)
RR
Wyoming(6/16/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
