James S. Robertson
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.
James Stuart Robertson, who also goes by - - Robertson, James Stuart Robertson Mr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 6 firms and has passed the Series 63, Series 66, Series 22TO, SIE, Series 3, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2020 - January 6, 2022
ATEL SECURITIES CORPORATION
October 9, 2013 - January 25, 2016
ALLIANZ GLOBAL INVESTORS U.S. LLC
October 12, 2012 - January 19, 2016
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
June 30, 1992 - January 7, 2004
SEI INVESTMENTS DISTRIBUTION CO.
January 30, 1991 - March 5, 1992
CHARLES SCHWAB & CO., INC.
May 21, 1985 - July 27, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 22TO
Date: 7/22/2020
Direct Participation Programs Representative ExaminationCurrent Firm
ATEL SECURITIES CORPORATION
CRD#: 17229 / SEC#: , 8-35271
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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