John Robertson has been Principal/Chief Compliance Officer of Greystone Financial & Estate Services since January 2019, is a control person of the firm and directly owns between 50% and 75% of it.
Greystone Financial & Estate Services, Inc. is a Kirkland, WA firm with $117M under management, 208 clients and 1 adviser in one office, as of its February 2026 filing.
John Robertson’s longest registration is the current one, 4 years at Greystone Financial & Estate Services since 2022. Before joining Greystone Financial & Estate Services in 2022, John Robertson was registered through Securities America Advisors, Inc. and KMS Financial Services, Inc.
- – present · 4 yearsKirkland, WA · Adviser representative · Firm CRD 318092
- Securities America Advisors, Inc.– · 1 yearKirkland, WA · Adviser representative · Firm CRD 110518
- KMS Financial Services, Inc– · 3 yearsSeattle, WA · Adviser representative · Firm CRD 3866
Investment adviser representative registrations
John Robertson is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from March 2022; the most recent is Arizona, in June 2023.
- ArizonaSince 12 June 2023
- TexasResidentSince 7 June 2023
- WashingtonSince 29 March 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 22 July 2017 |
| Series 7 | General Securities Representative Examination | 10 May 2017 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- John William Tadashi Robertson
- CRD
- 6786384
- Firm
- Greystone Financial & Estate Services · CRD 318092
- Role
- Principal/Chief Compliance Officer
- Office
- 6725 116TH AVENUE NE, SUITE 150, Kirkland, WA 98033
- Registration
- Investment adviser registration
- In the industry since
- May 2017
- Disciplinary history
- Not yet shown here · SEC record
Where does John Robertson work?
John Robertson has been Principal/Chief Compliance Officer of Greystone Financial & Estate Services, Inc. since January 2019, and is a control person of the firm.
Is John Robertson a financial advisor?
Yes. John Robertson has a current investment-adviser registration in Arizona, Texas and Washington, through Greystone Financial & Estate Services since March 2022.
How many years of experience does John Robertson have?
John Robertson has 9 years in the financial industry, since May 2017, across 3 adviser firms.
What exams has John Robertson passed?
John Robertson has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in May 2017. FINRA credited John Robertson with the SIE, which began in October 2018.
Where did John Robertson work before Greystone Financial & Estate Services?
Before Greystone Financial & Estate Services, John Robertson was registered through KMS Financial Services, Inc, July 2017 to November 2020.
Where is John Robertson based?
John Robertson’s registered office is in Kirkland, WA.
Is John Robertson registered with FINRA?
No. John Robertson has no current broker registration.
How can I verify John Robertson’s record?
Search CRD 6786384 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes John Robertson’s full registration record.