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William Archibald Robertson IV
WILLIAM A. ROBERTSON IV
CRD#: 4264973
IA
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EDWARD JONESCRD#: 250 112 MAIN STREET
PORTLAND, TN 37148
PORTLAND, TN 37148
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12/1/2008
Customer Dispute
Denied
State Registrations
B
Alabama 9/25/2007
B
Nebraska 7/11/2013
B
Arizona 5/3/2007
B
New York 9/24/2007
B
Arkansas 7/20/2023
B
North Carolina 4/17/2008
B
California 10/27/2006
B
Oklahoma 9/20/2007
B
Colorado 10/9/2024
B
Puerto Rico 9/26/2019
B
Florida 8/11/2003
B
South Carolina 5/25/2006
B
Georgia 10/9/2017
B
Tennessee 11/20/2000
B
Indiana 4/18/2012
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Tennessee 1/22/2007
B
Kentucky 2/11/2002
B
Washington 6/12/2007
B
Missouri 4/11/2001
SRO Registrations
B
B
B
B
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Registered with this firm since 1/22/2007
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Registered with this firm since 10/31/2000
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.