Robert W. Kasten

ROBERTSON INVESTMENT MANAGEMENT

Houston, TX 77056

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CRD#: 1009160

Professional summary

Robert William Kasten is a registered financial advisor currently at ROBERTSON INVESTMENT MANAGEMENT located in Houston, Texas.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Robert has worked at 17 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert William Kasten's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 24, 2020 - Present

ROBERTSON INVESTMENT MANAGEMENT

Office #1: 5120 Woodway Ste. 9029, Houston, TX 77056

RIA

CRD#: 115425

Houston, TX

Past

June 14, 2024 - January 22, 2025

OSAIC WEALTH, INC.

CRD#: 23131

LEAGUE CITY, TX

Past

December 3, 2019 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

LEAGUE CITY, TX

Past

January 29, 2015 - November 22, 2019

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

LEAGUE CITY, TX

Past

January 29, 2015 - November 22, 2019

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

LEAGUE CITY, TX

Past

July 29, 2004 - January 30, 2015

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

LEAGUE CITY, TX

Past

February 13, 2004 - January 30, 2015

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

LEAGUE CITY, TX

Past

October 1, 1993 - April 4, 1995

FIDELITY EQUITY SERVICES CORPORATION

CRD#: 17455

Past

May 14, 1993 - February 12, 2004

NORTHGATE SECURITIES INC.

CRD#: 21188

SPRING, TX

Past

August 16, 1990 - December 13, 1991

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

August 16, 1990 - December 13, 1991

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

January 29, 1990 - June 29, 1990

DERAND/PENNINGTON/BASS, INC.

CRD#: 4679

Past

April 20, 1989 - June 27, 1989

U.S. ADVISORS, INC.

CRD#: 10721

Past

September 6, 1988 - May 16, 1989

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

Past

August 24, 1987 - August 29, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

January 1, 1987 - August 31, 1987

UNDERHILL ASSOCIATES, INCORPORATED

CRD#: 6999

Past

October 8, 1986 - December 1, 1986

EQUITABLE SECURITIES OF NEW YORK,INC.

CRD#: 14583

Past

May 11, 1982 - September 18, 1986

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ROBERTSON INVESTMENT MANAGEMENT

ROBERTSON & ASSOCIATES LLC | ROBERTSON, LANDERS AND ASSOCIATES | ROBERTSON WEALTH MANAGEMENT, LLC | ROBERTSON INVESTMENT MANAGEMENT

CRD#: 115425 / SEC#: 801-120446

RIA

Registered Investment Advisory firm - (4/2/2021 Approved)

Texas

Registered Investment Advisory firm - (4/7/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(1/24/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/27/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/20/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/16/2007

General Securities Principal Examination

Current Firm

ROBERTSON INVESTMENT MANAGEMENT

ROBERTSON & ASSOCIATES LLC | ROBERTSON, LANDERS AND ASSOCIATES | ROBERTSON WEALTH MANAGEMENT, LLC | ROBERTSON INVESTMENT MANAGEMENT

CRD#: 115425 / SEC#: 801-120446

RIA

Registered Investment Advisory firm - (4/2/2021 Approved)

Texas

Registered Investment Advisory firm - (4/7/2021 Terminated)

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Contact information

Main Address

919 Milam St Suite 500, Houston, TX 77002

Mailing Address

Phone number

(713) 622-4077

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	779
AUM (Assets Under Management)	$ 273,053,474

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Colorado	ERA - Withdrawn	12/22/2020
Louisiana	ERA - Withdrawn	12/22/2020

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Robert W. Kasten

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert William Kasten's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA, INC.

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

FIDELITY EQUITY SERVICES CORPORATION

NORTHGATE SECURITIES INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

DERAND/PENNINGTON/BASS, INC.

U.S. ADVISORS, INC.

THE STUART-JAMES COMPANY, INCORPORATED

INTEGRATED RESOURCES EQUITY CORPORATION

UNDERHILL ASSOCIATES, INCORPORATED

EQUITABLE SECURITIES OF NEW YORK,INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

ROBERTSON INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 4/27/1982

SIE

Date: 10/1/2018

Series 7

Date: 3/20/1982

Series 24

Date: 2/16/2007

Current Firm

ROBERTSON INVESTMENT MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

ROBERTSON INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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