Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Carl Zapel is a financial advisor with over 40 years of experience in the industry. He is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since 2011. Robert previously worked at Morgan Stanley Smith Barney and Citigroup Global Markets Inc. Robert holds a Series 7, Series 63, Series 53 and Series 65 license. He is also a registered investment advisor in Texas and California. He specializes in providing financial planning and investment management services to individuals, businesses, and institutions. Robert is committed to providing his clients with personalized and comprehensive financial solutions.
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.
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2
CA
10/20/2016 - Present
Wells Fargo Clearing Services, LLC (LOS ANGELES CA)
CA
06/01/2009 - 06/20/2011
MORGAN STANLEY SMITH BARNEY (LOS ANGELES CA)
CA
03/25/1986 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
NA
12/13/1985 - 05/07/1987
R. H. MOULTON & CO.
NA
09/25/1985 - 12/23/1985
B.O.C.L. SECURITIES CORP.
NA
10/15/1984 - 09/26/1985
CAL STATE SECURITIES CORP.
NA
03/14/1984 - 09/07/1984
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
06/30/1983 - 01/13/1984
BIRR, WILSON & CO., INC.
NA
02/15/1977 - 06/29/1983
GIBRALCO, INC.
IA
Issued 10/25/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/10/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/14/1985
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe 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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