RS
Roberto F. Santos
ARROWROOT FAMILY OFFICE
Marina Del Rey, CA 90292
Some features on this profile are disabled
CRD#: 4801410
RS
Professional summary
Roberto Francisco Santos, who also goes by Robert Francisco Santos, Robert Santos, is a registered financial advisor currently at ARROWROOT FAMILY OFFICE, LLC located in Marina Del Rey, California.
Roberto is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Roberto has worked at 4 firms and has passed the Series 66, Series 7TO, Series 79TO, SIE, Series 79, Series 7, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Francisco Santos | Robert Santos
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.
Vitreous Partners Holdings, LLC : Parent Company, non investment related, Managing Partner, start date 8/1/2013, 50 hours per month, duties include business consulting on non-broker dealer related M&A activities, administrative, research and filing tax returns
Vitreous Partners, LLC: Registered Investment Advisor, Investment related, CEO, 120 hrs/month, oversee operations, compliance and investments
Arrowroot Advisors, LLC: M&A Advisory under SEC Exemption Letter, Investment related,5 hours a month, Managing Director, oversee operations
Arrowroot Partners, LLC: FINRA registered broker dealer, Investment related, CEO & CCO, 100 hrs a month, oversee operations, compliance and broker dealer activity, GL Concepts: Board Member, non-investment related, no compensation, 1 hour per month, attend meetings, oversee business affairs
CRS (Client Relationship Summary) - RIA
Click below to view Roberto Francisco Santos'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
October 10, 2013 - Present
ARROWROOT FAMILY OFFICE, LLC
Office #1: 4553 Glencoe Avenue Suite 201, Marina Del Rey, CA 90292RIA
CRD#: 168744
Marina Del Rey, CA
Past
August 21, 2015 - August 10, 2020
ARROWROOT PARTNERS, LLC
BD
CRD#: 173085
Santa Monica, CA
Past
August 4, 2011 - August 12, 2013
SALEM PARTNERS LLC
BD
CRD#: 43363
LOS ANGELES, CA
Past
July 22, 2004 - July 29, 2011
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
LOS ANGELES, CA
Past
June 18, 2004 - July 29, 2011
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
LOS ANGELES, CA
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".
AF
ARROWROOT FAMILY OFFICE, LLC
ARROWROOT FAMILY OFFICE, LLC | VITREOUS PARTNERS, LLC
CRD#: 168744 / SEC#: 801-121878
RIA
Registered Investment Advisory firm - (7/23/2021 Approved)California
Registered Investment Advisory firm - (9/29/2021 Terminated)Virginia
Registered Investment Advisory firm - (8/31/2021 Terminated)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.Highlighted states indicate IAR registrations
IAR
California(10/10/2013)
IAR
Virginia(12/23/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/6/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 7/6/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
AF
ARROWROOT FAMILY OFFICE, LLC
ARROWROOT FAMILY OFFICE, LLC | VITREOUS PARTNERS, LLC
CRD#: 168744 / SEC#: 801-121878
RIA
Registered Investment Advisory firm - (7/23/2021 Approved)California
Registered Investment Advisory firm - (9/29/2021 Terminated)Virginia
Registered Investment Advisory firm - (8/31/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4553 Glencoe Avenue Suite 201, Marina Del Rey, CA 90292
Mailing Address
Phone number
(310) 341-4774
Established
Firm type
Fiscal year end
# of Employees
18
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,434 |
| AUM (Assets Under Management) | $ 373,856,384 |
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.
