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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)29 years in industry

ROBERTA PREIS ANDERSON

Advisor at WELLS FARGO ADVISORS

OLD GREENWICH, CT

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Search this name across graphsid dfx:ria:3d83d6c8-1c3e-2892-e41c-4ae36ef2de70

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 31, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 14, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63
First exam: Aug 14, 1997
First registration: Mar 31, 2009
Dual registered: yes, broker-dealer
Other names: ROBERTA P ANDERSON|ROBERTA JO PREIS|ROBERTA PREIS ANDERSON|ROBERTA ANDERSON
IAPD individual key: 2894918

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Mar 21, 2024	n/a	yes	OLD GREENWICH, CT	Current employment
PEOPLE'S UNITED ADVISORS, INC.	Former SEC adviser	Jun 1, 2018	Sep 8, 2022	no	Cos Cob, CT	Previous registration
PEOPLE'S SECURITIES, INC.	Former SEC adviser	Jun 28, 2013	Mar 31, 2020	no	COS COB, CT\|BRIDGEPORT, CT	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Mar 31, 2009	Jul 31, 2012	no	GREENWICH, CT\|CHARLOTTE, NC\|CHARLOTTE, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PEOPLE'S UNITED ADVISORS, INC.	WELLS FARGO ADVISORS	Sep 8, 2022	Mar 21, 2024	560	Firm change after gap	RIA to wirehouse
PEOPLE'S SECURITIES, INC.	PEOPLE'S UNITED ADVISORS, INC.	Mar 31, 2020	Jun 1, 2018	-669	Bulk transfer	Other
WELLS FARGO ADVISORS	PEOPLE'S SECURITIES, INC.	Jul 31, 2012	Jun 28, 2013	332	Firm change	Other

Relationships

Registered with (4)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Mar 21, 2024 to presentfactForm ADV
→ PEOPLE'S UNITED ADVISORS, INC.Registered adviserregistration: previous registration
Jun 1, 2018 to Sep 8, 2022factForm ADV
→ PEOPLE'S SECURITIES, INC.Registered adviserregistration: previous registration
Jun 28, 2013 to Mar 31, 2020factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 31, 2009 to Jul 31, 2012factForm ADV

Dated events

Occurred
Sep 8, 2022
Advisor changed firm
Roberta Preis Anderson left People'S United Advisors, Inc. for Wells Fargo Advisors (registered 2024-03-21)
Form ADVobserved 5 days ago