Thomas Robertson has been Managing Partner and Chief Compliance Officer of Oak Asset Management since April 2017, is a control person of the firm and directly owns between 25% and 50% of it.
Oak Asset Management, LLC is a Westlake Village, CA firm with $414M under management, 251 clients and 4 advisers across 3 offices, as of its February 2026 filing.
Thomas Robertson’s longest registration was 13 years at Wells Fargo Advisors Financial Network, LLC (2004–2017). Before joining Oak Asset Management in 2017, Thomas Robertson was registered through Wells Fargo Advisors Financial Network, LLC and UBS Financial Services Inc.
- Oak Asset Management, LLCCurrent– present · 9 yearsWestlake Village, CA · Adviser representative · Firm CRD 287856
- Wells Fargo Advisors Financial Network, LLC– · 13 yearsWestlake Village, CA · Adviser representative · Firm CRD 11025
- UBS Financial Services Inc.– · 6 yearsWoodland Hills, CA · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
Thomas Robertson is registered as an investment adviser representative in 2 states. Each was approved in May 2017.
- CaliforniaSince 8 May 2017
- TexasSince 8 May 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 10 June 2004 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 November 1996 |
| Series 7 | General Securities Representative Examination | 10 October 1996 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas Joseph Robertson
- CRD
- 2787862
- Firm
- Oak Asset Management · CRD 287856
- Role
- Managing Partner and Chief Compliance Officer
- Office
- 2535 Townsgate Road, Suite 300, Westlake Village, CA 91361
- Registration
- Investment adviser registration
- In the industry since
- October 1996
- Disciplinary history
- Not yet shown here · SEC record
Where does Thomas Robertson work?
Thomas Robertson has been Managing Partner and Chief Compliance Officer of Oak Asset Management, LLC since April 2017, and is a control person of the firm.
Is Thomas Robertson a financial advisor?
Yes. Thomas Robertson has a current investment-adviser registration in California and Texas, through Oak Asset Management since May 2017.
How many years of experience does Thomas Robertson have?
Thomas Robertson has 30 years in the financial industry, since October 1996, across 3 adviser firms.
What exams has Thomas Robertson passed?
Thomas Robertson has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in October 1996. FINRA credited Thomas Robertson with the SIE, which began in October 2018.
Where did Thomas Robertson work before Oak Asset Management?
Before Oak Asset Management, Thomas Robertson was registered through UBS Financial Services Inc., July 1997 to April 2004.
Where is Thomas Robertson based?
Thomas Robertson’s registered office is in Westlake Village, CA.
Is Thomas Robertson registered with FINRA?
No. Thomas Robertson has no current broker registration.
How can I verify Thomas Robertson’s record?
Search CRD 2787862 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Robertson’s full registration record.