Walter Robertson has been Managing Director and Executive Committee of Lowe, Brockenbrough & Company since September 2016, is a control person of the firm and directly owns under 5% of it. Walter Robertson holds a B.A. in History from Washington and Lee University.
Lowe, Brockenbrough & Company, Inc. is a Richmond, VA firm with $5.49B under management, 568 clients and 15 advisers in one office, as of its May 2026 filing.
Walter S. Robertson III is Managing Director and Director of Strategic Development of Brockenbrough. He is primarily responsible for leading client development, client relations and marketing efforts, and sits on the firm's Executive Committee. He joined the firm in 2016; before that he was President and Chief Operating Officer of Sterne Agee and Leach, Inc.
Walter Robertson’s longest registration is the current one, 9 years at Lowe, Brockenbrough & Company since 2017. Before joining Lowe, Brockenbrough & Company in 2017, Walter Robertson was registered through Scott & Stringfellow, LLC.
- Scott & Stringfellow, LLC– · 2 yearsRichmond, VA · Adviser representative · Firm CRD 6255
Investment adviser representative registrations
Walter Robertson is registered as an investment adviser representative in Virginia, since August 2017.
- VirginiaSince 4 August 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 4 August 2017 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 December 2004 |
| Series 24 | General Securities Principal Examination | 29 October 2002 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 6 July 2002 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 29 May 2002 |
| Series 7 | General Securities Representative Examination | 15 February 2002 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Representative Examination
- Full name
- Walter Spencer Robertson
- CRD
- 4443678
- Firm
- Lowe, Brockenbrough & Company · CRD 105142
- Role
- Managing Director; Executive Committee
- Office
- 920 LIBBIE AVE., SUITE 201, Richmond, VA 23226-2050
- Registration
- Investment adviser registration
- In the industry since
- March 2003
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- brockenbroughinc.com
Where does Walter Robertson work?
Walter Robertson has been Managing Director; Executive Committee of Lowe, Brockenbrough & Company, Inc. since September 2016, and is a control person of the firm.
Is Walter Robertson a financial advisor?
Yes. Walter Robertson has a current investment-adviser registration in Virginia, through Lowe, Brockenbrough & Company since August 2017.
How many years of experience does Walter Robertson have?
Walter Robertson has 23 years in the financial industry, since March 2003, across 2 adviser firms.
What exams has Walter Robertson passed?
Walter Robertson has passed 6 licensing exams: the Series 7, Series 9, Series 10, Series 24, Series 63 and Series 66. The earliest, the Series 7, was passed in February 2002. FINRA credited Walter Robertson with the SIE, which began in October 2018.
Where did Walter Robertson work before Lowe, Brockenbrough & Company?
Before Lowe, Brockenbrough & Company, Walter Robertson was registered through Scott & Stringfellow, LLC, January 2010 to April 2012.
Where is Walter Robertson based?
Walter Robertson’s registered office is in Richmond, VA.
Is Walter Robertson registered with FINRA?
No. Walter Robertson has no current broker registration.
How can I verify Walter Robertson’s record?
Search CRD 4443678 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Walter Robertson’s full registration record.
Austin Brockenbrough IVManaging Director; President; Executive Committee
David LyonsChief Compliance Officer (01/2021); Managing Director; Treasurer (09/2000) ; Executive Committee
Austin Brockenbrough IIIManaging Director & Chairman of the Board
Charles CaravatiManaging Director & Secretary; Executive Committee
Christopher DionManaging Director; Executive Committee
Matthew ShaiaManaging Director; Executive Committee