MR
Michelle Roberts
SYMPHONY FINANCIAL, LTD. CO.
Houston, TX 77027
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CRD#: 7626174
MR
Professional summary
Michelle Roberts is a registered financial advisor currently at SYMPHONY FINANCIAL, LTD. CO. located in Houston, Texas.
Michelle is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Michelle has worked at 2 firms and has passed the Series 65 exam.
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) the name of the other business: Vantage Point Test Prep; whether the business is investment-related: No; the address of the other business: Same as home address; the nature of the other business: Exam prep and tutoring; your position: Sole prop owner; title, or relationship with the other business: owner; the start date of your relationship: 06/2007; the approximate number of hours/month you devote to the other business: o; the number of hours you devote to the other business during securities trading hours: 0; and briefly describe your duties relating to the other business: Sole prop still exists but no time spent with the business; 2) the name of the other business: Insight Wealth Management LLC; whether the business is investment-related: Yes; the address of the other business: Same as adviser; the nature of the other business: DBA under which advisory services of SFL are provided; your position: registered agent; title, or relationship with the other business: registered agent of LLC; the start date of your relationship: 5/2024; the approximate number of hours/month you devote to the other business; All advisory business is conducting through this DBA; the number of hours you devote to the other business during securities trading hours: All advisory business is conducted through this DBA; and briefly describe your duties relating to the other business: Provide advisory services as an IAR of SFL;
CRS (Client Relationship Summary) - RIA
Click below to view Michelle 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®
NoneExperience
Current
June 6, 2024 - Present
SYMPHONY FINANCIAL, LTD. CO.
Office #1: 4295 San Felipe Suite 300, Houston, TX 77027RIA
CRD#: 171816
Houston, TX
Past
September 27, 2022 - June 10, 2024
RETIREMENT PLANNERS OF AMERICA
RIA
CRD#: 157222
Houston, TX
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".
SF
SYMPHONY FINANCIAL, LTD. CO.
ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT
CRD#: 171816 / SEC#: 801-79989
RIA
Registered Investment Advisory firm - (6/30/2014 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.Highlighted states indicate IAR registrations
IAR
Texas(6/6/2024)
Current Firm
SF
SYMPHONY FINANCIAL, LTD. CO.
ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT
CRD#: 171816 / SEC#: 801-79989
RIA
Registered Investment Advisory firm - (6/30/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4295 San Felipe Suite 300, Houston, TX 77027
Mailing Address
Phone number
(281) 272-6800
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,324 |
| AUM (Assets Under Management) | $ 1,093,185,695 |
Red Flags
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