Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Theresa? Claim Your ProfileTheresa Roberts is a registered representative with Morgan Stanley. Theresa has been working in the financial services industry since 2005. Theresa has a broad range of experience and has worked at several firms including TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC, BB&T SECURITIES, LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, WELLS FARGO ADVISORS, LLC, and BANCWEST INVESTMENT SERVICES, INC..
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
04/17/2023 - Present
Morgan Stanley (PURCHASE NY)
NC
03/02/2020 - 03/24/2023
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
FL
04/01/2019 - 02/28/2020
BB&T SECURITIES, LLC (FT LAUDERDALE FL)
NC
10/08/2015 - 03/26/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
CA
02/28/2013 - 10/02/2015
WELLS FARGO ADVISORS, LLC (SACRAMENTO CA)
CA
07/13/2011 - 02/21/2013
BANCWEST INVESTMENT SERVICES, INC. (SACRAMENTO CA)
CA
01/23/2009 - 06/30/2011
SECURITIES AMERICA, INC. (DAVIS CA)
CA
05/10/2006 - 01/23/2009
BRECEK & YOUNG ADVISORS, INC. (DAVIS CA)
CA
06/20/2005 - 04/25/2006
WM FUNDS DISTRIBUTOR, INC. (EL DORADO HILLS CA)
IA
Issued 09/14/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/18/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/07/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/12/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/11/2008
Series 24 - General Securities Principal Examination
BC
Issued 07/11/2008
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/2008
Series 7 - General Securities Representative Examination
BC
Issued 06/17/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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