Richard B. Roby

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CRD#: 4789039

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.

Richard Brown Roby, who also goes by Richard B Roby, Rick Brown Roby, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2004. Richard had worked at 5 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Richard B Roby | Rick Brown Roby

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 19, 2013 - June 2, 2017

CONSOLIDATED FINANCIAL

RIA

CRD#: 119695

DUBLIN, OH

Past

March 17, 2011 - July 12, 2012

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

COLUMBUS, OH

Past

March 17, 2011 - July 12, 2012

FIFTH THIRD SECURITIES, INC.

CRD#: 628

COLUMBUS, OH

Past

March 28, 2007 - March 8, 2011

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

MANSFIELD, OH

Past

July 6, 2005 - March 8, 2011

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

MANSFIELD, OH

Past

June 23, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

September 13, 2004 - May 26, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MANSFIELD, OH

Past

July 2, 2004 - May 26, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

CONSOLIDATED FINANCIAL

CONSOLIDATED FINANCIAL | CONSOLIDATED FINANCIAL MANAGEMENT GROUP, LLC

CRD#: 119695 / SEC#: 801-112968

RIA

Registered Investment Advisory firm - (4/23/2018 Approved)

Ohio

Registered Investment Advisory firm - (8/17/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/4/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

State Security Law Exam

IAR

Series 66

Date: 9/10/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/1/2004

General Securities Representative Examination

Current Firm

CONSOLIDATED FINANCIAL

CONSOLIDATED FINANCIAL | CONSOLIDATED FINANCIAL MANAGEMENT GROUP, LLC

CRD#: 119695 / SEC#: 801-112968

RIA

Registered Investment Advisory firm - (4/23/2018 Approved)

Ohio

Registered Investment Advisory firm - (8/17/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/4/2018 Terminated)

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Contact information

Main Address

5850 Venture Drive Suite A, Dublin, OH 43017

Mailing Address

Phone number

(614) 932-0000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A: FIRM BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,467
AUM (Assets Under Management)	$ 516,040,000

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.

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Firm Stability Insights

Richard B. Roby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CONSOLIDATED FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 9/10/2004

Series 7

Date: 7/1/2004

Current Firm

CONSOLIDATED FINANCIAL

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONSOLIDATED FINANCIAL

TRUST BUT VERIFY

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