Richard Roby is a registered investment advisor, based in Tampa, FL, with 20 years of industry experience.
Location
4301 Anchor Plaza Parkway, Suite 450, Tampa, FL, 33634
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Regulatory History (1)
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Customer Dispute
March 2018Denied
Other Business ActivitiesSells Insurance
Richard is an agent for Mark Roby Agency, Inc. DBA Roby Financial Group, selling life, disability, and health insurance, and also sells fixed indexed annuities through Roby Financial Group, dedicating about a quarter of his time. He also serves as Treasurer for Terri for Idaho (minimal time) and VP of Saguaro Canyon HOA (minimal time).
Employment History
Current Registrations
J.W. Cole Financial, INC.Broker
May 2013 - Present · 13 yrs
J. W. Cole Advisors, INC.
May 2013 - Present · 13 yrs
Previous Registrations
Financial Advisers of America, LLCBroker
September 2012 - May 2013 · 8 mos
Financial Advisers of America, LLC
September 2012 - May 2013 · 8 mos
Sunset Financial Services, INC.
April 2006 - September 2012 · 6 yrs 5 mos
Sunset Financial Services, INC.Broker
April 2006 - September 2012 · 6 yrs 5 mos
Jefferson Pilot Securities CorporationBroker
October 2005 - March 2006 · 5 mos
State Registrations13 states
AZFLIDMOMSMTNHNJNMNVORTXWA
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.