Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Allen Smith is an investment advisor representative at RBC Capital Markets, LLC, with over 20 years of experience in the financial industry. Robert has worked at several firms during their career including Hilltop Securities Inc. and UBS PaineWebber Inc. Robert is registered with FINRA and the states of Arizona, Arkansas, California, Colorado, Delaware, Florida, Georgia, Iowa, Maine, Michigan, Missouri, New Mexico, Oklahoma, Texas, Utah, Virginia, and Washington. Robert provides financial planning and portfolio management services to individuals, families, and businesses.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
TX
08/10/2017 - Present
RBC Capital Markets, LLC (Frisco TX)
TX
05/09/2003 - 08/22/2017
HILLTOP SECURITIES INC. (DALLAS TX)
NJ
07/16/1997 - 06/02/2003
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
IA
Issued 08/01/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/23/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, 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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