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Anthony Scott Roberts

Prosperity Asset Management, LLC

Louisville, KY

CRD 1891441

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Employer firm

Prosperity Asset Management, LLC CRD 286028

$56.6M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Prosperity Asset Management, Llc

6009 Brownsboro Park Blvd. Suite A, Louisville, KY 40207 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-03-26
FL RA APPROVED 2024-03-13
KY RA APPROVED 2024-03-13
IN RA APPROVED 2017-03-02
OH RA APPROVED 2017-01-26
  • TX RA
    APPROVED_RES
    Since 2025-03-26
  • FL RA
    APPROVED
    Since 2024-03-13
  • KY RA
    APPROVED
    Since 2024-03-13
  • IN RA
    APPROVED
    Since 2017-03-02
  • OH RA
    APPROVED
    Since 2017-01-26

Branch Locations

6009 Brownsboro Park Blvd. Suite A, Louisville, KY 40207 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
A Roberts & Associates Inc. Louisville KY 04/1991 Present
Gradient Advisors, Llc Arden Hills MN 04/2016 12/2016
Prosperity Asset Management, Llc Louisville KY 01/2017 Present
Fers-Tsp Strategies Llc Louisville KY 01/2020 Present
Previous Registrations
Other Businesses

A. ROBERTS & ASSOCIATES, INC.; OWNER/INSURANCE AGENT; Louisville, KY; AGENT LIFE & HEALTH INS SALES WILL CONTINUE TO RECEIVE "VESTED" RENEWALS FROM SAVED BUSINESS; FERS-TSP Strategies LLC; non-investment related; Managing Partner; Louisville KY; personal real estate investments; started 01/2020; less than 5 hours total and during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-11-29
  • S63 Uniform Securities Agent State Law Examination
    1988-11-29
Designations
  • Chartered Financial Consultant
Other Names
  • Anthony Scott Roberts
  • Tony Roberts

View on SEC IAPD

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