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Detailed Report
ROBERT WILLIAM KASTEN
CRD#: 1009160
IA
Investment Adviser
B
Previous Broker
ROBERTSON INVESTMENT MANAGEMENTCRD#: 115425 5120 Woodway Ste. 9029
Houston, TX 77056
Registration History
1985199019952000200520102015202020252 FIRMS1990 - 1991 (1 year)2 FIRMS2004 - 2015 (10 years)2 FIRMS2015 - 2019 (4 years)IAROBERTSON INVESTMENT MANAGEMENT (CRD# 115425)2020 - Present (5 years)BOSAIC WEALTH, INC. (CRD# 23131)2024 - 2025 (<1 year)BSECURITIES AMERICA, INC. (CRD# 10205)2019 - 2024 (4 years)BD. E. WINE INVESTMENTS INC. (CRD# 21188)1993 - 2004 (10 years)BFIDELITY EQUITY SERVICES CORPO... (CRD# 17455)1993 - 1995 (1 year)BDERAND/PENNINGTON/BASS, INC. (CRD# 4679)1990 - 1990 (<1 year)BU.S. ADVISORS, INC. (CRD# 10721)1989 - 1989 (<1 year)BTHE STUART-JAMES COMPANY, INCO... (CRD# 11691)1988 - 1989 (<1 year)BINTEGRATED RESOURCES EQUITY CO... (CRD# 6403)1987 - 1988 (1 year)BUNDERHILL ASSOCIATES, INCORPORATED (CRD# 6999)1987 - 1987 (<1 year)BEQUITABLE SECURITIES OF NEW YO... (CRD# 14583)1986 - 1986 (<1 year)BFIRST JERSEY SECURITIES, INC. (CRD# 6621)1982 - 1986 (4 years)
Disclosure(s)
View By:
9/8/2021
Customer Dispute
Settled
10/1/2020
Customer Dispute
Settled
3/25/2020
Customer Dispute
Settled
3/25/2020
Customer Dispute
Settled
10/30/2019
Judgment / Lien
10/20/1987
Regulatory
Final
License(s)

State Registrations

IA
Texas 1/24/2020
Current Registration(s)
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ROBERTSON INVESTMENT MANAGEMENT (CRD#:115425)
5120 Woodway Ste. 9029, Houston, TX 77056
Registered with this firm since 1/24/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 06/14/2024 - 01/22/2025 OSAIC WEALTH, INC. (CRD#:23131) LEAGUE CITY, TX
B
 12/03/2019 - 06/14/2024 SECURITIES AMERICA, INC. (CRD#:10205) LEAGUE CITY, TX
IA
 01/29/2015 - 11/22/2019 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) LEAGUE CITY, TX
B
 01/29/2015 - 11/22/2019 FIRST ALLIED SECURITIES, INC. (CRD#:32444) LEAGUE CITY, TX
IA
 07/29/2004 - 01/30/2015 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) LEAGUE CITY, TX
B
 02/13/2004 - 01/30/2015 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) LEAGUE CITY, TX
B
 05/14/1993 - 02/12/2004 D. E. WINE INVESTMENTS INC. (CRD#:21188)
FINRA expelled the firm on 12/19/2013
SPRING, TX
B
 10/01/1993 - 04/04/1995 FIDELITY EQUITY SERVICES CORPORATION (CRD#:17455)
B
 08/16/1990 - 12/13/1991 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
 08/16/1990 - 12/13/1991 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
B
 01/29/1990 - 06/29/1990 DERAND/PENNINGTON/BASS, INC. (CRD#:4679)
B
 04/20/1989 - 06/27/1989 U.S. ADVISORS, INC. (CRD#:10721)
B
 09/06/1988 - 05/16/1989 THE STUART-JAMES COMPANY, INCORPORATED (CRD#:11691) DENVER, CO
B
 08/24/1987 - 08/29/1988 INTEGRATED RESOURCES EQUITY CORPORATION (CRD#:6403)
B
 01/01/1987 - 08/31/1987 UNDERHILL ASSOCIATES, INCORPORATED (CRD#:6999)
B
 10/08/1986 - 12/01/1986 EQUITABLE SECURITIES OF NEW YORK,INC. (CRD#:14583)
FINRA expelled the firm on 05/04/1991
B
 05/11/1982 - 09/18/1986 FIRST JERSEY SECURITIES, INC. (CRD#:6621)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.