Roberto Aburto
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.
Roberto Aburto JR, who also goes by Robert Aburto, Roberto Aburto, was a registered financial professional .
Roberto is a previously registered financial professional and started their career in finance in 2005. Roberto had worked at 7 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 6 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2025 - August 7, 2026
FROST INVESTMENT SERVICES
May 23, 2025 - August 7, 2026
FROST BROKERAGE SERVICES, INC.
March 11, 2022 - July 19, 2024
EMPOWER FINANCIAL SERVICES, INC.
October 7, 2020 - February 17, 2022
FARMERS FINANCIAL SOLUTIONS, LLC
July 24, 2015 - August 12, 2020
J.P. MORGAN SECURITIES LLC
May 21, 2008 - August 24, 2011
CHASE INVESTMENT SERVICES CORP.
May 21, 2008 - August 24, 2011
CHASE INVESTMENT SERVICES CORP.
May 11, 2005 - January 11, 2008
WELLS FARGO INVESTMENTS, LLC
April 18, 2005 - January 11, 2008
WELLS FARGO INVESTMENTS, LLC
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
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: 5/22/2025
General Securities Representative ExaminationCurrent Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/12/2025 | ||
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
