Iain R. 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.
Iain Ronald Robertson was a registered financial professional .
Iain is a previously registered financial professional and started their career in finance in 1993. Iain had worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2017 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
April 17, 1996 - March 8, 2018
SCOTTRADE, INC.
January 27, 1993 - January 14, 1998
NORTHGATE SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
Red Flags
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