Alan T. 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.
Alan Thomas Robertson was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1967. Alan had worked at 5 firms and has passed the Series 63, Series 65, Series 1, Series 28 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 1995 - October 28, 1998
MORTON CLARKE INC.
February 24, 1978 - July 2, 1978
MORGAN STANLEY DW INC.
December 13, 1976 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
November 11, 1974 - September 24, 1993
PIPER SANDLER & CO.
June 21, 1967 - December 26, 1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
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 1
Date: 6/19/1967
Registered Representative ExaminationSeries 28
Date: 9/23/1994
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 40
Date: 8/26/1975
Registered Principal ExaminationCurrent Firm
MORTON CLARKE INC.
CRD#: 37182 / SEC#: 801-56495, 8-47646
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORTON, JOHN SAINSBURY | SHAREHOLDER | 341120 |
| CLARKE, STEPHEN SYDENHAM | SHAREHOLDER | 48072 |
| MORTON, TRENTON KROEGER | SHAREHOLDER | 2770360 |
| BRENNER, MARY SUSAN | SHAREHOLDER | 1355148 |
| DESHON, LOREN IRVIN | SHAREHOLDER | 730531 |
| HURD, PATRICIA LEE | CHIEF COMPLIANCE OFFICER - BROKERAGE, CCO - IA, SECRETARY | 3201269 |
| LAFROMBOIS, NOLAN RYAN | SHAREHOLDER, CFO, TREASURER | 4263393 |
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.
