Mark Roberts: $650K Complaint Against Affinity Advisor

Overland Park, Kansas financial advisor Mark Roberts (CRD# 2734867) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with CreativeOne Securities, doing business as Affinity Asset Management.

Mr. Roberts’ BrokerCheck report discloses several investor complaints. The most recent, filed in September 2024, alleges that as a representative of CreativeOne Securities, he sold an unsuitable investment strategy that involved indexed universal life insurance. The pending complaint alleges damages of $650,000. “I am aggressively defending this dispute,” Mr. Roberts wrote in the complaint’s disclosure.

An earlier investor complaint, filed in 2007, alleged that as a representative of Thrivent Investment Management, he delayed the liquidation of a customer’s account. In 2008 complaint reached a settlement of $4,733.36.

A third disclosure on his BrokerCheck report concerns his termination from Thrivent Investment Management. Filed in 2008, it states that the firm fired him in connection with allegations that he made false representations, engaged in discretionary trading, accepted trade authorizations via email, and violated other firm policies and procedures.

Affinity Asset Management’s website includes a profile of Mr. Roberts that describes his background and experience. “In addition to managing clients’ money and giving investment and diversification advice, Mark offers something that ‘the other guys’ don’t—a unique approach to retirement tax strategies and distribution,” it explains. “Time and time again, Mark meets with new clients who tell him they have a great relationship with their financial advisor but have never been offered information on this kind of approach to securing their financial futures. Mark has taken this feedback to heart and works tirelessly to ensure that his strategies focus on taxes and distribution.”

According to the Financial Industry Regulatory Authority, Mark Roberts holds 28 years of securities industry experience. Based in Overland Park, Kansas, he has been registered as a broker and an investment advisor with CreativeOne Securities since 2011, doing business as Affinity Asset Management. His past registrations include Broker Dealer Financial Services, Investment Advisors Corp., Cutter & Company, and Thrivent Investment Management. He holds 25 state licenses. (Information current as of December 1, 2024.)

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