Roberta B. Goldbaugh
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 B. Goldbaugh, CFP®, who also goes by Roberta Ann Berry, 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 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2007
Experience
September 10, 2007 - January 6, 2022
RTD FINANCIAL ADVISORS INC
March 2, 2007 - September 4, 2007
MERCER ADVISORS
Primary Firm SEC Registration
RTD FINANCIAL ADVISORS INC
CRD#: 110744 / SEC#: 801-19015
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
RTD FINANCIAL ADVISORS INC
CRD#: 110744 / SEC#: 801-19015
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,979 |
| AUM (Assets Under Management) | $ 2,381,633,715 |
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.
