David Roberts has been an investment adviser representative at Vima since September 2020, and is not listed among the firm’s executive officers or direct owners.
Vima, LLC is a Troy, MI firm with $229M under management, 1,182 clients and 12 advisers in one office, as of its May 2026 filing.
David Roberts’ longest registration is the current one, 6 years at Vima since 2020. Before joining Vima in 2020, David Roberts was registered through Financial Strategies Group, Inc and Securian Financial Services, Inc.
- Financial Strategies Group, Inc– · under a yearOkemos, MI · Adviser representative · Firm CRD 289054
- Securian Financial Services, Inc.– · 2 yearsLansing, MI · Adviser representative · Firm CRD 15296
- Waddell & Reed– · under a yearGrand Blanc, MI · Adviser representative · Firm CRD 866
- Chesme Capital Management– · 2 yearsDewitt, MI · Adviser representative · Firm CRD 129342
- Investment Solutions Advisors LLC– · 4 yearsNorton Shores, MI · Adviser representative · Firm CRD 153274
- Valic Financial Advisors, Inc.– · under a yearAuburn Hills, MI · Adviser representative · Firm CRD 42803
Investment adviser representative registrations
David Roberts is registered as an investment adviser representative in Michigan, since September 2020.
- MichiganSince 3 September 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 24 September 2015 |
| Series 7 | General Securities Representative Examination | 21 September 2015 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 27 September 2010 |
| Series 24 | General Securities Principal Examination | 7 April 1988 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- General Securities Principal Examination
- Full name
- David Claude Roberts
- CRD
- 1539126
- Firm
- Vima · CRD 148833
- Office
- 46 EAST SQUARE LAKE RD., Troy, MI 48085
- Registration
- Investment adviser registration
- In the industry since
- August 2006
- Disciplinary history
- Not yet shown here · SEC record
Where does David Roberts work?
David Roberts is an investment adviser representative registered through Vima, LLC since September 2020, and is not listed among the firm’s executive officers or direct owners.
Is David Roberts a financial advisor?
Yes. David Roberts has a current investment-adviser registration in Michigan, through Vima since September 2020.
How many years of experience does David Roberts have?
David Roberts has 20 years in the financial industry, since August 2006, across 7 adviser firms.
What exams has David Roberts passed?
David Roberts has passed 4 licensing exams: the Series 24, Series 6, Series 7 and Series 63. The earliest, the Series 24, was passed in April 1988. FINRA credited David Roberts with the SIE, which began in October 2018.
Where did David Roberts work before Vima?
Before Vima, David Roberts was registered through Securian Financial Services, Inc., September 2016 to February 2019; Waddell & Reed, December 2015 to May 2016; Chesme Capital Management, September 2012 to March 2015; Investment Solutions Advisors LLC, August 2011 to September 2015; Valic Financial Advisors, Inc., December 2010 to May 2011.
Where is David Roberts based?
David Roberts’ registered office is in Troy, MI.
Is David Roberts registered with FINRA?
No. David Roberts has no current broker registration.
How can I verify David Roberts’ record?
Search CRD 1539126 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Roberts’ full registration record.