Kenneth I. 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.
Kenneth Ian Roberts, who also goes by Kenneth Roberts, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2006. Kenneth had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2019 - June 10, 2019
VALLEY WEALTH MANAGERS, INC.
October 13, 2016 - May 18, 2017
PNC WEALTH MANAGEMENT LLC
August 12, 2016 - May 18, 2017
PNC WEALTH MANAGEMENT LLC
March 30, 2015 - November 30, 2015
MSI FINANCIAL SERVICES, INC.
March 27, 2015 - November 30, 2015
MSI FINANCIAL SERVICES, INC.
May 17, 2012 - April 17, 2015
CHARLES SCHWAB & CO., INC.
May 16, 2012 - April 17, 2015
CHARLES SCHWAB & CO., INC.
November 29, 2010 - May 3, 2012
J.P. MORGAN SECURITIES LLC
January 28, 2009 - November 15, 2010
TRUIST INVESTMENT SERVICES, INC.
May 7, 2008 - November 15, 2010
TRUIST INVESTMENT SERVICES, INC.
December 19, 2006 - April 23, 2008
J.P. MORGAN CLEARING CORP.
December 19, 2006 - April 23, 2008
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
VALLEY WEALTH MANAGERS, INC.
CRD#: 108879 / SEC#: 801-25461
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
Current Firm
VALLEY WEALTH MANAGERS, INC.
CRD#: 108879 / SEC#: 801-25461
Contact information
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,957 |
| AUM (Assets Under Management) | $ 2,317,257,859 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 09/07/2023 | ||
| 10/04/2022 |
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.
