Thomas V. 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.
Thomas Vern Robertson, who also goes by Tom Robertson, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2015 - December 18, 2015
LION STREET ADVISORS, LLC
March 13, 2015 - December 18, 2015
LION STREET FINANCIAL, LLC
January 25, 2013 - March 20, 2013
MSI FINANCIAL SERVICES, INC.
January 1, 2013 - March 20, 2013
MSI FINANCIAL SERVICES, INC.
June 16, 2010 - May 10, 2011
MORGAN STANLEY
May 14, 2010 - May 10, 2011
MORGAN STANLEY
February 27, 1992 - April 12, 1994
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 4, 1991 - September 19, 1991
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
January 22, 1986 - August 27, 1990
BMA FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LION STREET ADVISORS, LLC
CRD#: 167610 / SEC#: 801-107414
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 7,668 |
| AUM (Assets Under Management) | $ 3,177,363,713 |
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.
