Scott 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.
Scott Jeffrey Robertson was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1972. Scott had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 50, Series 7, Series 52, Series 1, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 1996 - September 16, 2025
LRB PUBLIC FINANCE ADVISORS, INC.
December 9, 1991 - April 15, 1996
DOUGHERTY DAWKINS LLC
March 8, 1990 - October 31, 1991
GKB, INC.
March 11, 1983 - March 19, 1990
DBLKM INC.
January 14, 1972 - June 16, 1977
COUGHLIN & COMPANY, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 1/12/1972
Registered Representative ExaminationCurrent Firm
LRB PUBLIC FINANCE ADVISORS, INC.
CRD#: 39119 / SEC#: , 8-48547
Contact information
FINRA licenses (12 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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