Understanding Tim Roberson’s Professional Background
Tim Roberson is a seasoned financial advisor with over 33 years of securities industry experience. He is currently registered as both a broker and investment advisor with Stifel Nicolaus in Brentwood, Tennessee, having joined the firm in 2024. Prior to joining Stifel, he worked at Merrill Lynch from 1992 to 2024.
His team was described in a 2024 AdvisorHub article as managing over $3 billion in client assets, with a significant focus on serving individuals from the sports and entertainment industries. The article mentioned he oversaw a group servicing around 550 clients.
Credentials At A Glance:
- Over 33 years of securities industry experience
- Passed seven key industry exams, including the Series 7, 9, 10, 31, 63, 65, and SIE
- Holds licenses in 28 states
For more details on licenses and employment history, visit FINRA BrokerCheck: Tim Roberson BrokerCheck.
Red Flags and Complaint History
Even with an impressive professional history, investors should pay close attention to complaint records and red flags. Below, we detail all known complaints involving Tim Roberson based on publicly available regulatory records and reporting as of November 23, 2025.
| Year | Firm | Allegation | Status/Outcome | Reported Damages |
|---|---|---|---|---|
| 2025 | Merrill Lynch | Did not act in customer’s best interest (pending). | Pending | Unspecified |
| 2017 | Merrill Lynch | Misrepresentation & omissions regarding variable annuity. | Settled | $30,543.31 |
| 2001 | Merrill Lynch | Unsuitable investment recommendations; delay in following sell instructions for mutual funds. | Settled | $13,000 |
- Pending Complaint (2025): Filed in October 2025, the most recent claim alleges that as a Merrill Lynch representative, Roberson failed to act in the client’s best interest. Details on specific damages have not been disclosed, and the case remains unresolved.
- 2017 Complaint: This matter centered on alleged misrepresentation and omissions of material facts in connection with a variable annuity purchase. It was settled for $30,543.31 in compensation to the investor.
- 2001 Complaint: The earliest disclosed complaint accused Roberson of recommending unsuitable investments and failing to efficiently execute a client’s mutual fund sell order. This was settled for $13,000.
No Regulatory, Civil, or Criminal Actions Noted
It’s important to clarify that, as of the latest available records:
- No regulatory actions have been taken against Tim Roberson.
- No civil judgments, liens, or terminations have been reported.
- No SEC enforcement orders or court filings were found listing Roberson as a defendant.
A review of both public records and press outlets uncovers no indication of any undisclosed or unreported investigations or disciplinary actions.
Perspective for Investors: What Matters Most
A history of customer complaints does not automatically mean an advisor has acted improperly in every instance. However, multiple client complaints relating to alleged failures in acting in the client’s best interests or unsuitable investment recommendations should serve as a call for careful review. Settlements, especially when issued more than once, may signal recurring patterns or specific areas of concern, even absent formal regulatory penalties.
Key Takeaways for Investors Working with Tim Roberson (CRD# 2200567):
- Three investor complaints lodged over the span of his career, with settlements of over $43,000 related to alleged misrepresentation, omissions, and investment suitability concerns.
- As of now, no disciplinary actions or lawsuits have been verified from regulatory or court sources.
- His transition to Stifel Nicolaus (2024) was prominent, with his team previously managing significant assets for clients, mainly in athletics and entertainment.
If you have questions about your investments with Tim Roberson or any concerns about the handling of your accounts, you are not alone. It’s always wise to review your statements and transaction history, and consider whether your advisor has acted in your best interest. Remember: You have the right to seek answers, and a professional review can uncover options you may not be aware of.
Haselkorn & Thibaut is here to help.
With millions recovered for clients nationwide, our experienced attorneys work on a no recovery, no fee basis. Call us now at 1-888-994-8066 for a free, confidential consultation about your situation. Every investor’s matter is unique, and there’s no obligation. Take the first step to clarity and peace of mind today.
Summary Table:
| Field | Value |
|---|---|
| Advisor Name | Tim Roberson |
| Advisor’s CRD | 2200567 |
| Broker-Dealer | Stifel Nicolaus |
Your best interests are what matter most. Contact Haselkorn & Thibaut at 1-888-994-8066 for a free, comprehensive case evaluation regarding Tim Roberson or Stifel Nicolaus today.
