ANDREW THOMAS ROBERSON (ANDREW T ROBERSON, ANDY ROBERSON) is currently registered both as a broker and as an investment advisor with EMERSON EQUITY LLC of San Mateo, California since August of 2025. He was previously listed with PARK AVENUE SECURITIES LLC of San Ramon, California, also as a broker and as an investment advisor, from 2018-2025.
According to FINRA’s BrokerCheck, available on FINRA’s website, ANDREW T ROBERSON has been in the securities industry for twenty-one years and has been listed with five firms. Roberson has three disclosures on his FINRA CRD report. There are two “Customer Disputes” listed and an “Employment Separation after Allegations” dated 7/1/2025 discharging ANDREW T ROBERSON from PARK AVENUE SECURITIES LLC. The allegations listed were, “RR (Registered Representative) violated the Firm's policies by facilitating outside investments not approved by the Firm.”
On 2/28/2025 there was a “Customer Dispute” filed against ANDREW T ROBERSON that was “Closed-No Action.” The allegations were, “Client alleges the RR encouraged him to invest $300,000 in a solar tax credit program called H2, which is not an approved product of the Firm. Client states he lost $191,000 in the investment.” The amount requested was $300,000.00.
Another dispute filed against ANDREW T ROBERSON dated 1/7/2026 is pending. The allegations are, “Customer alleges the representative recommended and facilitated an unapproved private "solar program" investment, which was unsuitable and involved misrepresentations and omissions, resulting in substantial losses. Customer also alleges inadequate supervision by firm. Information contained herein was obtained by the U5 amended filing by Park Avenue Securities.” The amount of damage requested is $570,000.00.
When a broker is “selling away” it is when the broker solicits a client to purchase securities not held or offered by the executing brokerage firm. Brokerage firms generally have lists of approved products that can be offered by their brokers to their clients. These approved products have usually undergone due diligence and have been identified by the firm's screening personnel as solid products. Selling away is a violation of securities regulations.
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