DR
DR
David Roberts
33 Years of Experience
Melville, NY
3 DisclosuresBroker
David Roberts is a registered investment advisor at Wells Fargo Advisors, based in Melville, NY, with 33 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 401,726 clients with $200B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3710 advisors
IM Fee
Planning only
Assets Under Management
$197.4B
Fee Structure
Investment management only (planning not offered)
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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Location
510 Broadhollow Rd., Ste 209, Melville, NY, 11747
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2001Denied
Customer Dispute
March 1999Denied
Customer Dispute
June 1998Denied
Other Business Activities
David is a trustee for his mother's trust, an investment-related activity. This requires minimal time.
Employment History
Current Registrations
Wells Fargo Advisors Financial Network, LLCBroker
July 2024 - Present · 1 yr 10 mos
Wells Fargo Advisors
July 2024 - Present · 1 yr 10 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
December 2011 - July 2024 · 12 yrs 7 mos
Wells Fargo Advisors
December 2011 - July 2024 · 12 yrs 7 mos
Morgan Stanley Smith Barney LLC
June 2009 - December 2011 · 2 yrs 6 mos
Morgan Stanley Smith BarneyBroker
June 2009 - December 2011 · 2 yrs 6 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
September 2005 - April 2007 · 1 yr 7 mos
Morgan Stanley Dw INC.Broker
September 2005 - April 2007 · 1 yr 7 mos
Merrill Lynch Pierce Fenner & Smith INC.
August 2000 - September 2005 · 5 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2000 - September 2005 · 5 yrs 2 mos
Salomon Smith Barney INC.Broker
July 1993 - August 2000 · 7 yrs 1 mo
Lehman Brothers INC.Broker
September 1992 - July 1993 · 10 mos
State Registrations24 states
AZCACOCTDEFLGAILMAMDMINCNHNJNVNYOHPARISCTNTXVAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.