Renee RobertsCRD Number: 1236218
Current Firm: Hilltop Securities Inc.
Renee Roberts (CRD# 1236218) is an Investment Advisor Representative working at Hilltop Securities Inc. in Roseville, CA and has over 15 years of experience in the finance industry.
Clarion Advisors Inc.
Adams Ashby Financial Advisors
Three Oaks Capital Management
|M.l. Stern & Company, LLC||Sacramento, CA||Feb 1997 - Current||21|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 2002|
|S65||NASAA Investment Advisors Law Examination||Oct 2004|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management918MILLIONS
Total Number of Accounts3,114ACCOUNTS
Average Account Value$294,840
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV