SR
Shaun A. Roberts
CETERA INVESTMENT ADVISERS LLC
STATEN ISLAND, NY 10312
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CRD#: 5007273
SR
Professional summary
Shaun Arthur Roberts, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Staten Island, New York and CETERA WEALTH SERVICES, LLC located in Staten Island, New York.
Shaun is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Shaun has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) Ambit Energy~'NIR'~38 Retford Ave~Staten Island~NY~10312~Other~Independent Contractor~12/6/2011~1hrs~0hrs~Offer customers alternate electricity and natural gas suppliers to save money on energy bills, present opportunity to work as a consultant. The income is completely passive and residual. I have not actively engaged in recruiting anyone in over 6 years. 2) Shaun Roberts Associates, Ltd~'NIR'~895 Huguenot Ave~Staten Island~NY~10312~Independent Insurance Agent~Insurance Sales Agent~8/22/2012~1hrs~1hrs~Offering United Health Care medicare supplemental health insurance to clients 3) Blue Knights International Law Enforcement Motor~'NIR'~38 Alden Street~Bangor~ME~04401~Board Position/Officer~Other~1/1/2019~2hrs~0hrs~Treasurer. Keep record of expenses and dues collection. ensure bills are paid and bank account is in good order. 4) Shaun Roberts Associates Ltd.~'IR'~4355 Hylan Blvd~Staten Island~NY~10312~Accounting Services/Tax Preparation~Owner~11/14/2005~100hrs~40hrs~I oversee client's brokerage accounts. I prepare their taxes. 5) SRA WEALTH ADVISORS, LLC POSITION: Owner NATURE: I prepare and review all of the following: tax preparation, accounting, bookkeeping, financial statements,taxpayer representation, business consulting, and business entity formation. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2024 ADDRESS: 4355 Hylan Blvd, Staten Island NY 10312, United States DESCRIPTION: I prepare and review all of the following: tax preparation, accounting, bookkeeping, financial statements,taxpayer representation, business consulting, and business entity formation.
CRS (Client Relationship Summary) - RIA
Click below to view Shaun Arthur Roberts'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®
CFP®
Start date: 2014
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 93 Rolling Hill Green, Staten Island, NY 10312Office #2: 2 Teleport Dr. Ste 104, Staten Island, NY 10311RIA
CRD#: 105644
STATEN ISLAND, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4355 Hylan Blvd, Staten Island, NY 10312BD
CRD#: 13572
Staten Island, NY
Past
February 20, 2008 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
STATEN ISLAND, NY
Past
November 14, 2005 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Staten Island, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Delaware(9/18/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Hawaii(9/5/2025)
RR
Massachusetts(9/18/2025)
RR
Minnesota(9/5/2025)
RR
Nevada(9/18/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
