Alan Thomas Robertson
Professional Summary
Alan Thomas Robertson was a registered financial advisor. Alan was a previously registered financial professional and started their career in finance 1967 - 1998. Alan had worked at 5 firms and has passed the Series 63, Series 65, Series 1, Series 28 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
59 years in the financial services industry
Current & Past Employments
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Current Firm
ATR INC. | MORTON CLARKE, INC. | MORTON CLARKE, INC | MORTON CLARKE INC. | MORTON CLARKE INC | MORTON CLARKE FU & METCALF, INC. | MORTON CLARKE FU & METCALF INC. | MORTON CLARKE BURNS FU & METCALF INC.
Contact Information
Established
Washington since 09/01/1994Firm Type
CorporationFiscal Year End
JuneDocuments
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 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Jun 1967Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Sep 1994About the Series 28 examSeries 40 — Registered Principal Examination
Passed Aug 1975Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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