Roberta M. Nelson
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.
Roberta Marian Nelson, who also goes by Robin M Nelson, Roberta M Tomlitz, was a registered financial professional .
Roberta is a previously registered financial professional and started their career in finance in 2007. Roberta had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2014 - January 8, 2021
SOLANO WEALTH MANAGEMENT, INC.
November 15, 2007 - January 21, 2015
LPL FINANCIAL LLC
October 30, 2007 - December 23, 2020
LPL FINANCIAL LLC
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
SOLANO WEALTH MANAGEMENT, INC.
CRD#: 168720 / SEC#: 801-110665
Contact information
Regulatory assets under management
| Total Number of Accounts | 841 |
| AUM (Assets Under Management) | $ 322,261,339 |
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.
