Ekaterini Roberts

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CRD#: 5048897

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.

Ekaterini Roberts, CFP®, who also goes by Ekaterina Nikolaou, Ekaterini Nikolaou, Katerina Nikolaou, Katerina Roberts, was a registered financial professional .

Ekaterini is a previously registered financial professional and started their career in finance in 2005. Ekaterini had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

What are your service offerings?

Tax Planning

Insurance Planning

Employee and Employer Plan Ben...

Retirement Planning

Estate Planning

Are you a "fiduciary"?

Aliases

Ekaterina Nikolaou | Ekaterini Nikolaou | Katerina Nikolaou | Katerina Roberts

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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^®

CRD#: 10674

WEST HARTFORD, CT

Past

November 3, 2005 - June 8, 2011

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

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".

CONNECTICUT WEALTH MANAGEMENT, LLC

CRD#: 154310 / SEC#: 801-73061

RIA

Registered Investment Advisory firm - (2/3/2012 Approved)

Connecticut

Registered Investment Advisory firm - (2/16/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/8/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/12/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/2/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CONNECTICUT WEALTH MANAGEMENT, LLC

CRD#: 154310 / SEC#: 801-73061

RIA

Registered Investment Advisory firm - (2/3/2012 Approved)

Connecticut

Registered Investment Advisory firm - (2/16/2012 Terminated)

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Contact information

Main Address

281 Farmington Avenue, Farmington, CT 06032-1911

Mailing Address

Phone number

(860) 470-0290

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CTWM FORM ADV PART 2A - MARCH 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,737
AUM (Assets Under Management)	$ 3,708,773,192

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2025	Cover Page	Report
10/02/2024	Cover Page	Report
09/26/2023	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

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Advisor Monitoring

Firm Stability Insights

Ekaterini Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONNECTICUT WEALTH MANAGEMENT, LLC

FOCUS PARTNERS WEALTH, LLC

GYL FINANCIAL SYNERGIES, LLC

HOOKER & HOLCOMBE INVESTMENT ADVISORS, INC.

NEWEDGE SECURITIES, LLC

VOYA FINANCIAL PARTNERS, LLC

Primary Firm SEC Registration

CONNECTICUT WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/8/2007

SIE

Date: 10/12/2017

Series 6

Date: 11/2/2005

Current Firm

CONNECTICUT WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CONNECTICUT WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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