John M. Robertson

LIVE OAK WEALTH ADVISORY GROUP

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CRD#: 4412056

Professional summary

John Michael Robertson is a registered financial advisor currently at LIVE OAK WEALTH ADVISORY GROUP, LLC .

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. John has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Robertson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 6, 2013 - Present

LIVE OAK WEALTH ADVISORY GROUP, LLC

RIA

CRD#: 154962

Past

March 19, 2012 - April 19, 2013

NOVODYN ADVISORS LLC

RIA

CRD#: 156451

HOUSTON, TX

Past

July 28, 2003 - July 1, 2004

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

November 16, 2001 - June 4, 2003

SCHONFELD SECURITIES, LLC

CRD#: 23304

JERICHO, NY

Past

September 7, 2001 - November 20, 2001

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LIVE OAK WEALTH ADVISORY GROUP, LLC

CRD#: 154962 / SEC#: 801-122404

RIA

Registered Investment Advisory firm - (9/27/2021 Approved)

Louisiana

Registered Investment Advisory firm - (10/5/2021 Terminated)

New Mexico

Registered Investment Advisory firm - (10/1/2021 Terminated)

Texas

Registered Investment Advisory firm - (10/1/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(6/6/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/12/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/3/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/6/2001

General Securities Representative Examination

Current Firm

LIVE OAK WEALTH ADVISORY GROUP, LLC

CRD#: 154962 / SEC#: 801-122404

RIA

Registered Investment Advisory firm - (9/27/2021 Approved)

Louisiana

Registered Investment Advisory firm - (10/5/2021 Terminated)

New Mexico

Registered Investment Advisory firm - (10/1/2021 Terminated)

Texas

Registered Investment Advisory firm - (10/1/2021 Terminated)

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Contact information

Main Address

3730 Kirby Drive Suite 1200, Houston, TX 77030

Mailing Address

Phone number

(281) 822-9200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/13/2025)

Regulatory assets under management

Total Number of Accounts	308
AUM (Assets Under Management)	$ 143,024,276

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.

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Advisor Monitoring

Firm Stability Insights

John M. Robertson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Robertson's CRS (Customer Relationship Summary).

Certified licenses

Experience

NOVODYN ADVISORS LLC

ONEAMERICA SECURITIES, INC.

SCHONFELD SECURITIES, LLC

OSAIC FS, INC.

Primary Firm SEC Registration

LIVE OAK WEALTH ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/12/2012

Series 63

Date: 10/3/2001

Series 7

Date: 9/6/2001

Current Firm

LIVE OAK WEALTH ADVISORY GROUP, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LIVE OAK WEALTH ADVISORY GROUP, LLC

TRUST BUT VERIFY

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