Jerry R. Roberts

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CRD#: 808315

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.

Jerry Ray Roberts was a registered financial professional .

Jerry is a previously registered financial professional and started their career in finance in 1975. Jerry had worked at 10 firms and has passed the Series 63, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

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®

None

Experience

Past

August 2, 2010 - July 3, 2012

LINCOLN INVESTMENT

CRD#: 519

FORT WASHINGTON, PA

Past

May 23, 2006 - August 2, 2010

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CINCINNATI, OH

Past

April 25, 2005 - April 29, 2006

ARCHER ALEXANDER SECURITIES CORPORATION

CRD#: 41555

KANSAS CITY, MO

Past

December 1, 1999 - April 26, 2005

FINANCIAL WORLD CORPORATION

CRD#: 41377

OVERLAND PARK, KS

Past

May 31, 1994 - November 19, 1999

SUNPOINT SECURITIES, INC.

CRD#: 25442

LONGVIEW, TX

Past

July 20, 1992 - June 1, 1994

TOWER INVESTMENT GROUP, INC.

CRD#: 24180

Past

April 8, 1991 - July 27, 1992

LEGEND CAPITAL CORPORATION

CRD#: 4149

PALM BEACH GARDENS, FL

Past

June 29, 1989 - September 17, 1990

INSTITUTIONAL SECURITIES CORPORATION

CRD#: 20291

DALLAS, TX

Past

March 26, 1987 - November 29, 1988

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

ELGIN, IL

Past

May 22, 1975 - March 20, 1987

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

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".

LINCOLN INVESTMENT

CRD#: 519 / SEC#: 801-14059, 8-14354

RIA

Registered Investment Advisory firm - SEC (9/11/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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: 7/6/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/17/1975

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/20/1984

Investment Company Products/Variable Contracts Principal Examination

Current Firm

LINCOLN INVESTMENT

CRD#: 519 / SEC#: 801-14059, 8-14354

RIA

Registered Investment Advisory firm - SEC (9/11/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232

Mailing Address

601 Office Center Drive Suite 150-mailroom, Fort Washington, PA 19034

Phone number

(215) 887-8111

Established

Pennsylvania since 08/01/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,293

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

LINCOLN INVESTMENT PLANNING, LLC FORM ADV PART 2A APPENDIX I BROCHURE (8/13/2025)

LINCOLN INVESTMENT PLANNING, LLC FORM ADV PART 2A BROCHURE (8/13/2025)

Direct owners and executive officers

Name	Position	CRD#
LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC	MEMBER/OWNER
ALEXANDER, DANIEL SEAN	EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER	4051341
BUETI, ANTHONY CHARLES	SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER	5876104
BURA, KAREN DOUGHERTY	VICE-PRESIDENT, CONTROLLER	1666006
ESTES, JASON CHRISTOPHER	EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER	7485210
FLAX, STEVEN NEIL	EXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER	5655474
FORST, EDWARD SAMUEL JR	ELECTED MANAGER/CEO	708024
LECKEY, KATHLEEN KINSLOW	PRESIDENT, CHIEF OPERATING OFFICER	2447809
MATTSON, MAUREEN ANN	EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	5952728
MCCARTHY, DIANE MULHERRIN	EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER	4923328
MEHROTRA, SHASHI	SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER	2640875
OBERLIES, SUSAN MARY	SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY	3009149

Regulatory assets under management

Total Number of Accounts	201,292
AUM (Assets Under Management)	$ 18,904,482,714

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2024	Cover Page	Report
09/27/2023	Cover Page	Report
03/29/2023	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.

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Jerry R. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MM ASCEND LIFE INVESTOR SERVICES, LLC

ARCHER ALEXANDER SECURITIES CORPORATION

FINANCIAL WORLD CORPORATION

SUNPOINT SECURITIES, INC.

TOWER INVESTMENT GROUP, INC.

LEGEND CAPITAL CORPORATION

INSTITUTIONAL SECURITIES CORPORATION

INVESTORS BROKERAGE SERVICES, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

Primary Firm SEC Registration

LINCOLN INVESTMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 7/6/1989

Series 7

Date: 5/17/1975

Series 26

Date: 2/20/1984

Current Firm

LINCOLN INVESTMENT

Contact information

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LINCOLN INVESTMENT

TRUST BUT VERIFY

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