Clinton Lee Roberts

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-09-26

TX RA
APPROVED

Since 2025-09-26

Branch Locations

1780 Hughes Landing Blvd. Suite 200, The Woodlands, TX 77380-1687 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Raymond James & Associates, Inc.	The Woodlands	TX	11/2023	07/2025
River Oaks Equity Partners, L.L.C.	Houston	TX	12/2015	11/2023
Ubs Financial Services Inc.	The Woodlands	TX	08/2025	Present

11/2023 → 07/2025

Raymond James & Associates, Inc.

The Woodlands, TX
12/2015 → 11/2023

River Oaks Equity Partners, L.L.C.

Houston, TX
08/2025 → Present

Ubs Financial Services Inc.

The Woodlands, TX

Previous Registrations

2024-03-27 → 2025-07-16

Raymond James & Associates, Inc.

Colorado Springs, CO

The Woodlands, TX
2010-02-18 → 2010-03-10

Wfg Advisors, Lp

Fort Worth, TX
2009-10-30 → 2010-02-11

Roberts Wealth Management Llc

Fort Worth, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-03-25
S65	Uniform Investment Adviser Law Examination	2008-04-14
S63	Uniform Securities Agent State Law Examination	2007-07-19

S66 Uniform Combined State Law Examination

2024-03-25
S65 Uniform Investment Adviser Law Examination

2008-04-14
S63 Uniform Securities Agent State Law Examination

2007-07-19

Other Names

Clinton L Roberts
Clinton Lee Roberts
Clint Roberts

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews