Robert Kevin Hather

Current Employers

Hather, Robert K

San Luis Obispo, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APP_PEND_IARCE	2026-01-01

CA RA
APP_PEND_IARCE

Since 2026-01-01

Branch Locations

San Luis Obispo, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wachovia Securities, Llc	San Luis Obispo	CA	06/2003	Present
Robert K Hather	San Luis Obispo	CA	06/2006	Present

06/2003 → Present

Wachovia Securities, Llc

San Luis Obispo, CA
06/2006 → Present

Robert K Hather

San Luis Obispo, CA

Previous Registrations

2003-05-13 → 2006-06-06

Wells Fargo Clearing Services, Llc

San Luis Obispo, CA

San Luis Obispo, CA

Other Businesses

Trustee of the Maureen Roffoni IRR Tr DTD 2009 and Diedre Roffoni IRR Tr DTD 2009 and Trustee of the Roffoni Living Tr DTD 1988. Time spent can be from 0-3 hours per day

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-04-28
S63	Uniform Securities Agent State Law Examination	1985-02-21

S65 Uniform Investment Adviser Law Examination

1994-04-28
S63 Uniform Securities Agent State Law Examination

1985-02-21

View on SEC IAPD