Timothy A. 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.
Timothy Alan Roberts was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2004. Timothy had worked at 10 firms and has passed the Series 66, Series 7TO, 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
May 31, 2024 - March 5, 2026
MISSIONSQUARE RETIREMENT
May 31, 2024 - March 5, 2026
MISSIONSQUARE WEALTH MANAGEMENT
September 15, 2023 - October 16, 2023
TRIAD ADVISORS LLC
October 21, 2022 - April 26, 2023
NADLER FINANCIAL GROUP, INC.
August 23, 2022 - April 26, 2023
AUSDAL FINANCIAL PARTNERS, INC.
October 3, 2016 - February 13, 2019
EMPOWER FINANCIAL SERVICES, INC.
May 13, 2016 - August 8, 2016
KESTRA INVESTMENT SERVICES, LLC
May 9, 2016 - September 30, 2016
KESTRA ADVISORY SERVICES, LLC
April 23, 2010 - November 5, 2015
HORNOR, TOWNSEND & KENT, LLC
April 22, 2010 - November 5, 2015
HORNOR, TOWNSEND & KENT, LLC
February 25, 2005 - April 27, 2010
EQUITABLE ADVISORS, LLC
October 19, 2004 - April 27, 2010
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
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
Series 7TO
Date: 8/23/2022
General Securities Representative ExaminationCurrent Firm
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 |
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.
