Atricia Jernell Roberts

Current Employers

Employment History

• 03/2016 → 05/2017
  Bank Of America
  Bethesda, MD
• 05/2017 → Present
  Kestra Investment Services, Llc
  Rockville, MD
• 07/2019 → Present
  Kestra Advisory Services, Llc
  Rockville, MD

Previous Registrations

• 2006-02-22 → 2008-03-19
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Savannah, GA

Other Businesses

Name: Bernard R. Wolfe & Associates Investment Related: Yes Address: 5550 Friendship Boulevard Ste. 570 Chevy Chase MD 20815 Nature of Business: Registered Field Assistant Position, Title or Relationship: Client Associate Start Date: 5/30/2017 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: Manage client needs regarding service, trading, problem resolution and processing issues. Prepare reports and information for client meetings. Participate in client meetings with Lead Advisor. Client case design and financial plan development. Analyzing asset allocation and generating rebalancing trades. Serve as quality control point to ensure that all calls, paperwork, policy and procedures for customer requests have been adhered to in accordance with compliance requirements. Ability to manage and prioritize multiple and competing priorities on a daily basis in pursuit of business objectives. Interfaces with the broker-dealer or custodian to open new accounts, update account information, fill out necessary forms and perform routine tasks such as updating mailing or other instructions. Name: ATRICIA J. ROBERTS POSITION: Property owner NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/10/2020 ADDRESS: 1 Barons Way, Savannah GA 31419 DESCRIPTION: n/a Name: CURO PRIVATE WEALTH POSITION: Operations Director NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 119 START DATE: 05/13/2022 ADDRESS: 6116 Executive Blvd., Ste. 410, Rockville MD 20852 DESCRIPTION: Manage client needs regarding service, trading, problem resolution and processing issues. Manage inbound calls and emails generated by a book of clients and takes responsibility for proactive outreach to clients. Prepare for client meetings. Participate in client meetings with Lead Advisor. Client case design and financial plan development. Analyzing asset allocation and generating rebalancing trades. Oversee client service operations team and serve as quality control point to ensure that all calls, paperwork, policy and procedures for customer requests have been adhered to in accordance with compliance requirements. Able to identify opportunities, issues and viable alternatives when traditional solutions do not apply. Ability to manage and prioritize multiple and competing priorities on a daily basis in pursuit of business objectives. Interfaces with the broker-dealer or custodian to open new accounts, update account information. Name: KESTRA ADVISORY SERVICES POSITION: Investment Advisor Representative NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/18/2023 ADDRESS: 5707 Southwest Parkway, Bldg. 2 Ste. 400, Austin TX 78735 DESCRIPTION: Responsible for managing existing client relationships and formulating and implementing advice. Serves the firm as a business developer and is responsible for attracting new client relationships to the firm. Oversees and trains other advisors and staff. oversees and directs the firm's client service and operations functions. Name: CURO PRIVATE WEALTH POSITION: COO & Partner NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 119 START DATE: 05/13/2022 ADDRESS: 6116 Executive Blvd., Ste. 410, Rockville MD 20852, United States DESCRIPTION: Oversee client service operations. Lead Advisor for the firm's clients, partners with CEO on practice management

Exams

• S66 Uniform Combined State Law Examination
  2018-02-22

Designations