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RR

Richard K. Robertson

Some features on this profile are disabled
CRD#: 2233786
RR

Professional summary

Richard Keith Robertson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Richard had worked at 12 firms, which includes SILVER OAK ASSET MANAGEMENT LLC, TRIAD ADVISORS LLC, ONEDIGITAL, LPL FINANCIAL LLC, INDEPENDENT FINANCIAL PARTNERS, NRP ADVISORS INC., NRP FINANCIAL INC., WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, UBS FINANCIAL SERVICES INC., MORGAN STANLEY DW INC., PACIFIC CAPITAL PARTNERS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Keith Robertson | Rk Robertson

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.
1)Richard Keith Robertson Family Trust; not investment related;252 Palomar Ave, La Jolla, CA 92032;trustee;11/25/2003;5 hrs/month;.5 hrs during trading; daily management of family trust. 2)Resources Investment Advisors LLC; investment related; 4860 College Blvd, Suite 100,Overland Park, KS 66211; registered investment adviser; investment adviser representative; 12/1/2018;180 hrs/month;7 hrs during trading; provides investment advice to clients. 3)Resource Benefits Group; investment related; 9276 Scranton Road, Suite 550,San Diego, CA 92121; wealth management; senior investment adviser; 11/2010; 180 hrs/month;7 hrs during trading; offers wealth management services to clients

Blog Corner

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®
None

Experience

Past

March 19, 2021 - November 23, 2022

SILVER OAK ASSET MANAGEMENT LLC

RIA
CRD#: 311954
La Jolla, CA
Past

January 2, 2019 - January 28, 2021

TRIAD ADVISORS LLC

BD
CRD#: 25803
San Diego, CA
Past

December 3, 2018 - May 20, 2021

ONEDIGITAL

RIA
CRD#: 106766
San Diego, CA
Past

November 30, 2010 - December 31, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN DIEGO, CA
Past

October 29, 2010 - December 31, 2018

INDEPENDENT FINANCIAL PARTNERS

RIA
CRD#: 125112
SAN DIEGO, CA
Past

May 16, 2008 - December 1, 2010

NRP ADVISORS, INC.

RIA
CRD#: 141430
LA JOLLA, CA
Past

May 16, 2008 - November 30, 2010

NRP FINANCIAL, INC.

BD
CRD#: 103717
LA JOLLA, CA
Past

July 1, 2003 - May 22, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
LA JOLLA, CA
Past

July 1, 2003 - May 22, 2008

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
LA JOLLA, CA
Past

January 12, 2001 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
LA JOLLA, CA
Past

December 15, 2000 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

April 8, 1998 - January 10, 2001

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

February 28, 1995 - April 13, 1998

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

June 13, 1992 - February 8, 1995

PACIFIC CAPITAL PARTNERS, INC.

BD
CRD#: 24519
LA JOLLA, CA

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
IAR
Series 65
Date: 8/31/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/11/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/11/1995
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 5/22/1992
Direct Participation Programs Representative Examination

Current Firm

SO
SILVER OAK ASSET MANAGEMENT LLC
SILVER OAK ASSET MANAGEMENT LLC

CRD#: 311954 / SEC#:

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Contact information

Main Address
Del Mar, CA
Mailing Address
Phone number
(858) 245-4395
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts123
AUM (Assets Under Management)$ 74,859,505

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.

Company Information

SILVER OAK ASSET MANAGEMENT LLC

CRD#: 311954

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