Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 28, 2018 indicate that former Texas-based First Allied Securities broker/adviser William Robertson has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Robertson (CRD# 823461).
William Robertson has spent 40 years in the securities industry and was most recently registered with First Allied Securities in Deer Park, Texas (2000-2016). Previous registrations include DE Frey & Company in Denver, Colorado (1994-2000); Dean Witter Reynolds in Purchase, New York (1981-1994); Bache Halsey Stuart Shields (1977-1981); Bache Halsey Stuart (1976-1977); and Bache & Company (1976). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 21, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 18, 1980; Series 5 (Interest Rate Options Examination), which he obtained on December 11, 1982; PC (AMEX Put and Call Exam), which he obtained on June 13, 1977; Series 7 (General Securities Representative Examination), which he obtained on May 15, 1976; Series 4 (Registered Options Principal Examination), which he obtained on November 9, 2006; and Series 24 (General Securities Principal Examination), which he obtained on August 13, 1996. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.