Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Leach is a financial advisor with over 35 years of experience in the industry. Robert is registered with Wells Fargo Clearing Services, LLC in Frisco, Texas. Robert has a wide range of experience in the financial industry, having worked at several firms including Morgan Stanley, RBC Capital Markets, LLC, Wachovia Securities, LLC, Dean Witter Reynolds Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Robert is a licensed Series 7, Series 63, and Series 65. Robert also holds the Securities Industry Essentials Examination.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
03/24/2023 - Present
Wells Fargo Clearing Services, LLC (FRISCO TX)
TX
03/06/2013 - 03/28/2023
MORGAN STANLEY (Plano TX)
TX
01/30/2004 - 03/22/2013
RBC CAPITAL MARKETS, LLC (PLANO TX)
MO
09/17/1998 - 02/13/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
07/12/1994 - 09/21/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
05/28/1991 - 09/12/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
05/21/1987 - 05/29/1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 12/21/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/18/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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