Jessica L. Roberts
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jessica L. Roberts, CFP®, who also goes by Jessica L. Porter, Jessica Lee Porter, Jessica Porter, Jessica Lee Roberts, Jessica Roberts, was a registered financial professional .
Jessica is a previously registered financial professional and started their career in finance in 2006. Jessica had worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2017 - May 12, 2021
ARIES WEALTH MANAGEMENT, LLC
August 24, 2010 - December 16, 2016
UBS FINANCIAL SERVICES INC.
August 23, 2010 - December 16, 2016
UBS FINANCIAL SERVICES INC.
October 16, 2006 - June 18, 2009
UBS FINANCIAL SERVICES INC.
September 11, 2006 - June 18, 2009
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
ARIES WEALTH MANAGEMENT, LLC
CRD#: 175477 / SEC#: 801-86180
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ARIES WEALTH MANAGEMENT, LLC
CRD#: 175477 / SEC#: 801-86180
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 593 |
| AUM (Assets Under Management) | $ 530,707,864 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 10/19/2022 |
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.
