HR
Harold G. Robertson
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CRD#: 1054541
HR
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Harold Gordon Robertson, who also goes by Harold Gordon Robertson II, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1982. Harold had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Harold Gordon Robertson Ii
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.
CHATTANOOGA TUMOR CLINIC; INVOLVES INVESTMENT RELATED ACTIVITIES; 975 E 3RD ST., CHATTANOOGA, TN, 37403; CLINIC THAT WORKS WITH INDIGENT CANCER PATIENTS; BOARD MEMBER, ON THE INVESTMENT SUB COMMITTEE; 12/9/2009;3 HRS PER MO; 0 HRS DURING TRADING HRS.
HURLBUT FOUNDATION; NOT INVESTMENT RELATED; 701 MARKET ST., CHATTANOOGA, TN, 37402;DISTRIBUTES FUNDS TO NOT FOR PROFITS THAT WORK WITH INDIGENT CANCER PATIENTS;ADMINISTRATOR; 5/31/2010; 1 HR PER MO; O HR DURING TRADING HRS; BANK IS THE TRUSTEE OF THE FOUNDATION AND IS REQUIRED TO HAVE ONE PERSON WHO IS AN EMPLOYEE OF THE BANK SERVE AS AN ADMINISTRATOR. THE 2 OTHER ADMINISTRATORS ARE DOCTORS THAT SPECIALIZE IN CANCER PER THE TERMS OF THE TRUST.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
October 10, 2013 - January 9, 2024
FIRST HORIZON ADVISORS, INC.
RIA
CRD#: 17117
CHATTANOOGA, TN
Past
September 23, 2010 - October 10, 2013
FTB ADVISORS, INC.
RIA
CRD#: 143830
MEMPHIS, TN
Past
May 12, 2010 - March 30, 2012
FIRST HORIZON ADVISORS, INC.
RIA
CRD#: 17117
CHATTANOOGA, TN
Past
September 1, 2006 - January 9, 2024
FIRST HORIZON ADVISORS, INC.
BD
CRD#: 17117
CHATTANOOGA, TN
Past
July 15, 2005 - August 25, 2006
AMSOUTH INVESTMENT SERVICES, INC.
BD
CRD#: 15692
CHATTANOOGA, TN
Past
April 23, 2005 - May 9, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
March 21, 2001 - April 23, 2005
SOUTHTRUST SECURITIES, LLC
BD
CRD#: 17922
BIRMINGHAM, AL
Past
October 1, 1998 - April 4, 2001
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
June 13, 1997 - October 2, 1998
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
December 1, 1995 - June 4, 1997
UCB INVESTOR SERVICES, INC.
BD
CRD#: 21429
WHITEVILLE, NC
Past
July 3, 1995 - November 13, 1995
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
CHARLOTTE, NC
Past
January 12, 1993 - July 3, 1995
SOUTHERN NATIONAL INVESTMENT SERVICES, INC.
BD
CRD#: 30881
CHARLOTTE, NC
Past
August 1, 1990 - January 19, 1993
SCOTT & STRINGFELLOW, INC.
BD
CRD#: 3309
RICHMOND, VA
Past
March 14, 1990 - August 22, 1990
FOX, GRAHAM & MINTZ SECURITIES, INC.
BD
CRD#: 16962
Past
January 12, 1990 - April 5, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
July 23, 1982 - January 4, 1990
ASIEL & CO. LLC
BD
CRD#: 1112
NEW YORK, NY
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".
FH
FIRST HORIZON ADVISORS, INC.
FIRST HORIZON ADVISORS, INC | FTB ADVISORS, INC. | FIRST TENNESSEE DISCOUNT BROKERAGE, INC. | FIRST TENNESSEE BROKERAGE, INC. | FIRST HORIZON INVESTMENT SERVICES, A DIVISION OF FIRST TENNESSEE BROKERAGE, INC. | FIRST HORIZON ADVISORS, INC.
CRD#: 17117 / SEC#: 801-78594, 8-35061
RIA
Registered Investment Advisory firm - SEC (5/31/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Arkansas
Registered Investment Advisory firm - SEC (5/25/2004 Terminated)California
Registered Investment Advisory firm - SEC (6/15/2004 Terminated)Delaware
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Georgia
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Maryland
Registered Investment Advisory firm - SEC (7/13/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)New Jersey
Registered Investment Advisory firm - SEC (3/29/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/24/2004 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (7/12/2004 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/14/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (7/15/2004 Terminated)Virginia
Registered Investment Advisory firm - SEC (7/22/2004 Terminated)Washington
Registered Investment Advisory firm - SEC (8/29/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
FH
FIRST HORIZON ADVISORS, INC.
FIRST HORIZON ADVISORS, INC | FTB ADVISORS, INC. | FIRST TENNESSEE DISCOUNT BROKERAGE, INC. | FIRST TENNESSEE BROKERAGE, INC. | FIRST HORIZON INVESTMENT SERVICES, A DIVISION OF FIRST TENNESSEE BROKERAGE, INC. | FIRST HORIZON ADVISORS, INC.
CRD#: 17117 / SEC#: 801-78594, 8-35061
RIA
Registered Investment Advisory firm - SEC (5/31/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Arkansas
Registered Investment Advisory firm - SEC (5/25/2004 Terminated)California
Registered Investment Advisory firm - SEC (6/15/2004 Terminated)Delaware
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Georgia
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Maryland
Registered Investment Advisory firm - SEC (7/13/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)New Jersey
Registered Investment Advisory firm - SEC (3/29/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/24/2004 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (7/12/2004 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/14/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (7/15/2004 Terminated)Virginia
Registered Investment Advisory firm - SEC (7/22/2004 Terminated)Washington
Registered Investment Advisory firm - SEC (8/29/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
165 Madison Avenue 3rd Floor, Memphis, TN 38117
Mailing Address
165 Madison Avenue 14th Floor, Memphis, TN 38103
Phone number
(901) 818-6000
Established
Tennessee since 10/24/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
239
SEC notice filing (40 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,076 |
| AUM (Assets Under Management) | $ 13,617,534,771 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/15/2025 | ||
| 08/16/2024 | ||
| 12/21/2023 |
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.
