Douglas W. 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.
Douglas Winslow Robertson, who also goes by Doug Robertson, Douglas Winslow Robertson Mr., was a registered financial advisor .
Douglas is a previously registered financial advisor and started their career in finance in 1998. Douglas had worked at 2 firms and has passed the Series 65, Series 63 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
December 1, 2004 - August 18, 2005
WELLS FARGO INVESTMENTS, LLC
December 1, 2004 - August 18, 2005
WELLS FARGO INVESTMENTS, LLC
February 8, 2000 - April 22, 2004
CHARLES SCHWAB & CO., INC.
April 28, 1998 - April 22, 2004
CHARLES SCHWAB & CO., INC.
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
WELLS FARGO INVESTMENTS, LLC
CRD#: 10582 / SEC#: , 8-38588
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| AMADOR, LISA ANNE | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY | 1336656 |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/TREASURER & CFO | 1523151 |
| CAMERANESI, KENNETH STEVEN | DIRECTOR | 1292159 |
| DAGGS, CHARLES WILLARD III | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | 59782 |
| GRANGER, CLIFF GEVAN | AML COMPLIANCE OFFICER | 4787929 |
| PERKEL, RACHEL KENYON | DIRECTOR | 2445943 |
| WELKER, JAY SCOTT | CHAIRMAN & DIRECTOR | 2869678 |
| YERSIN, LINCOLN BLAINE | DIRECTOR | 1715424 |
Disclosures
| Regulatory Event | 53 |
| Arbitration | 33 |
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.
