Jason E. 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.
Jason Edward Robertson, who also goes by Jason E Robertson, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1997. Jason had worked at 10 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
March 3, 2014 - December 19, 2017
ADVISORS ASSET MANAGEMENT, INC.
February 25, 2014 - December 19, 2017
ADVISORS ASSET MANAGEMENT, INC.
February 12, 2014 - February 14, 2014
CETERA INVESTMENT ADVISERS LLC
June 24, 2013 - January 31, 2014
CETERA INVESTMENT SERVICES LLC
February 5, 2013 - February 14, 2014
CETERA INVESTMENT SERVICES LLC
July 10, 2012 - January 29, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
June 11, 2012 - June 21, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 2009 - April 12, 2012
TRANSAMERICA CAPITAL, LLC
June 28, 2007 - January 20, 2009
CAPITAL BROKERAGE CORPORATION
February 15, 2002 - June 15, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 2001 - November 26, 2001
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - April 5, 2001
WELLS FARGO CLEARING SERVICES, LLC
June 3, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
May 14, 1998 - May 25, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 28, 1997 - March 27, 1998
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
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
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
