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Thomas Joseph Robertson

Oak Asset Management, LLC

Westlake Village, CA

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Current Employers
Oak Asset Management, Llc

2535 Townsgate Road Suite 300, Westlake Village, CA 91361 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-05-08
TX RA APPROVED 2017-05-08
  • CA RA
    APPROVED
    Since 2017-05-08
  • TX RA
    APPROVED
    Since 2017-05-08

Branch Locations

2535 Townsgate Road, Suite 300, Westlake Village, CA 91361 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Financial Network Llc West Lake Village CA 05/2009 05/2017
Oak Asset Management, Llc Westlake Village CA 05/2017 Present
Previous Registrations
Other Businesses

1997 - Present; Insurance Agent; Westlake Village, CA; Investment Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-06-10
S63 Uniform Securities Agent State Law Examination 1996-11-06
  • S65 Uniform Investment Adviser Law Examination
    2004-06-10
  • S63 Uniform Securities Agent State Law Examination
    1996-11-06

View on SEC IAPD

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Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA
RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA
MML INVESTORS SERVICES, LLC · WESTLAKE VILLAGE, CA
EDWARD JONES · Westlake Village, CA

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