Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Austin Hess is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. He has been in the industry since 2001 and holds both Series 7 and Series 66 licenses. Robert has a long history of experience in the financial services industry, with previous roles at BANC of America Investment Services, INC. and UBS Financial Services Inc. His expertise extends across various areas including municipal securities, options, and general securities. Robert currently provides services to a broad range of clients including individuals, businesses, insurance companies, pension and profit sharing plans, charitable organizations, and state or municipal government entities.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
08/17/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (AUSTIN TX)
TX
08/22/2003 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (FT. WORTH TX)
NJ
04/04/2001 - 09/15/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 04/12/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/11/2005
Series 4 - Registered Options Principal Examination
BC
Issued 10/21/2004
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/30/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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