Michael J. 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.
Michael Joe Robertson was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 6 firms and has passed the Series 65, 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
April 11, 2016 - December 31, 2018
AVANTAX ADVISORY SERVICES
February 18, 2015 - February 3, 2016
AVANTAX ADVISORY SERVICES
May 27, 2009 - January 27, 2015
AVANTAX ADVISORY SERVICES
May 27, 2009 - December 31, 2018
AVANTAX INVESTMENT SERVICES, INC.
January 4, 2008 - June 10, 2009
LEVEL FOUR ADVISORY SERVICES
November 27, 2007 - May 29, 2009
OSAIC FS, INC.
July 12, 2007 - November 28, 2007
SECURITIES AMERICA, INC.
December 14, 2006 - May 21, 2007
LPL FINANCIAL LLC
October 6, 1993 - January 21, 1999
LPL FINANCIAL LLC
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
