Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Babcock is an investment advisor representative with Stifel, Nicolaus & Company, Inc. and has been working in the financial services industry since January 23, 2007. Robert is a Series 66, Series 7, Series 9, Series 10, and Series 24 licensed professional. Robert's specialties include financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses, and portfolio management for individuals. Prior to joining Stifel, Nicolaus & Company, Inc., Robert worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and CUSO FINANCIAL SERVICES, L.P.
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.
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
CA
04/03/2019 - Present
Stifel, Nicolaus & Company, Inc. (MURRIETA CA)
CA
08/21/2008 - 04/05/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (TEMECULA CA)
CA
03/08/2006 - 09/27/2007
CUSO FINANCIAL SERVICES, L.P. (SAN DIEGO CA)
BOTH
Issued 04/04/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/13/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/02/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/11/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/07/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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