David Wayne Robertson
Professional Summary
David Wayne Robertson was a registered financial advisor. David was a previously registered financial professional and started their career in finance 1990 - 2024. David had worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
ALLWORTH AIRLINE ADVISORS | STEWART & PATTEN CO. | SIMPLY MONEY ADVISORS | SHEAFF BROCK | SALZINGER SHEAFF BROCK | REDROCK WEALTH MANAGEMENT | RAA | JOHANSON FINANCIAL ADVISORS | HORSEMAN GROUP | HANSON MCCLAIN, L.P. | HANSON MCCLAIN, INC. | HANSON MCCLAIN RETIREMENT PLANNING | HANSON MCCLAIN RETIREMENT PLAN SERVICES | HANSON MCCLAIN ADVISORS | HANSON MCCLAIN | GEORGE MCKELVEY & CO. | ALLWORTH FINANCIAL, L.P. | ALLWORTH FINANCIAL
Contact Information
Main Address
340 Palladio Pkwy. Suite 501, Folsom, CA 95630Phone Number
(916) 482-2196# of Employees
493SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
75,126AUM (Assets Under Management)
$33,554,007,293Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2025 | Cover Page | Report |
| 02/05/2025 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ALLWORTH AIRLINE ADVISORS | STEWART & PATTEN CO. | SIMPLY MONEY ADVISORS | SHEAFF BROCK | SALZINGER SHEAFF BROCK | REDROCK WEALTH MANAGEMENT | RAA | JOHANSON FINANCIAL ADVISORS | HORSEMAN GROUP | HANSON MCCLAIN, L.P. | HANSON MCCLAIN, INC. | HANSON MCCLAIN RETIREMENT PLANNING | HANSON MCCLAIN RETIREMENT PLAN SERVICES | HANSON MCCLAIN ADVISORS | HANSON MCCLAIN | GEORGE MCKELVEY & CO. | ALLWORTH FINANCIAL, L.P. | ALLWORTH FINANCIAL
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1993About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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