David E. Roberts

STATHEROS FINANCIAL SOLUTIONS

San Jose, CA 95131

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CRD#: 819616

Professional summary

David Elvyn Roberts is a registered financial advisor currently at STATHEROS FINANCIAL SOLUTIONS, INC. located in San Jose, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1976. David has worked at 12 firms and has passed the Series 63, Series 7 and Series 1 exams.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Elvyn Roberts's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 6, 2019 - Present

STATHEROS FINANCIAL SOLUTIONS, INC.

Office #1: 2107 North 1st Street Suite 415, San Jose, CA 95131

RIA

CRD#: 306217

San Jose, CA

Past

August 7, 2002 - December 31, 2019

PGR SOLUTIONS, LLC

RIA

CRD#: 119490

SAN JOSE, CA

Past

December 11, 2001 - August 7, 2002

INVESMART SECURITIES, LLC

CRD#: 104168

PITTSBURGH, PA

Past

January 18, 2001 - August 7, 2002

INVESMART ADVISORS INC

RIA

CRD#: 108731

CAMPBELL, CA

Past

December 15, 1997 - December 23, 1999

INVESTMENT ARCHITECTS, INC.

CRD#: 17774

PETALUMA, CA

Past

April 12, 1996 - December 31, 1997

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

January 10, 1994 - April 15, 1996

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

June 5, 1990 - January 11, 1994

HALBERT, HARGROVE & CO.

CRD#: 2112

LONG BEACH, CA

Past

March 31, 1987 - July 9, 1988

GETTINS FINANCIAL GROUP, INC.

CRD#: 10860

Past

September 23, 1983 - September 2, 1986

CONWAY, WILLIAMS & FOSTER, INC.

CRD#: 10546

Past

December 16, 1981 - July 7, 1982

CALIFORNIA HARTLAND SECURITIES

CRD#: 7900

Past

March 16, 1976 - December 17, 1986

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CRD#: 2682

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".

STATHEROS FINANCIAL SOLUTIONS, INC.

STATHEROS FINANCIAL SOLUTIONS | STEADFAST FINANCIAL SOLUTIONS, INC. | STATHEROS FINANCIAL SOLUTIONS, INC.

CRD#: 306217 / SEC#: 801-117649

RIA

Registered Investment Advisory firm - (10/15/2019 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

California
(12/6/2019)

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: 11/1/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 3/11/1976

Registered Representative Examination

Current Firm

STATHEROS FINANCIAL SOLUTIONS, INC.

STATHEROS FINANCIAL SOLUTIONS | STEADFAST FINANCIAL SOLUTIONS, INC. | STATHEROS FINANCIAL SOLUTIONS, INC.

CRD#: 306217 / SEC#: 801-117649

RIA

Registered Investment Advisory firm - (10/15/2019 Approved)

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Contact information

Main Address

1107 Investment Blvd., Ste. 135, El Dorado Hills, CA 95762

Mailing Address

2107 N. 1st Street Suite 415, San Jose, CA 95131

Phone number

(916) 932-1219

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2021 FORM ADV - STATHEROS FINANCIAL SOLUTIONS INC. (3/11/2025)

2021 FORM ADV TAMP - STATHEROS FINANCIAL SOLUTIONS INC. (3/11/2025)

Regulatory assets under management

Total Number of Accounts	1,346
AUM (Assets Under Management)	$ 810,053,837

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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Advisor Monitoring

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David E. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Elvyn Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

PGR SOLUTIONS, LLC

INVESMART SECURITIES, LLC

INVESMART ADVISORS INC

INVESTMENT ARCHITECTS, INC.

WMA SECURITIES, INC.

MONY SECURITIES CORPORATION

HALBERT, HARGROVE & CO.

GETTINS FINANCIAL GROUP, INC.

CONWAY, WILLIAMS & FOSTER, INC.

CALIFORNIA HARTLAND SECURITIES

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

Primary Firm SEC Registration

STATHEROS FINANCIAL SOLUTIONS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/1/1996

Series 7

Date: 9/17/1983

Series 1

Date: 3/11/1976

Current Firm

STATHEROS FINANCIAL SOLUTIONS, INC.

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STATHEROS FINANCIAL SOLUTIONS, INC.

TRUST BUT VERIFY

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