Thomas C. 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.
Thomas Clifton Robertson was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1981. Thomas had worked at 3 firms and has passed the Series 65, Series 63, Series 16, Series 7, Series 14, Series 8, Series 27 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
July 9, 2012 - April 12, 2019
REDMOND ASSET MANAGEMENT, LLC
February 13, 2007 - January 4, 2011
ANDERSON & STRUDWICK, INCORPORATED
November 19, 1997 - June 28, 2012
GARDNER & ROBERTSON, INC.
June 23, 1981 - January 4, 2011
ANDERSON & STRUDWICK, INCORPORATED
Primary Firm SEC Registration
REDMOND ASSET MANAGEMENT, LLC
CRD#: 138706 / SEC#: 801-65154
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 8
Date: 7/24/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
REDMOND ASSET MANAGEMENT, LLC
CRD#: 138706 / SEC#: 801-65154
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 749 |
| AUM (Assets Under Management) | $ 557,241,446 |
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.
