Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Carty is a financial advisor with MML Investors Services, LLC. Robert has been in the financial services industry since 1993. He is registered with the state of California and is a registered representative with FINRA. Robert has a Series 66 license and a Series 7 license. Robert Carty is also licensed as a life and health insurance agent. He is committed to providing personalized financial advice to his clients. Robert Carty offers a variety of financial services, including asset allocation programs, financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for businesses and individuals.
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.
Asset allocation programs
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.
Solicitors fees
1
2
CA
01/05/2011 - Present
MML Investors Services, LLC (Palm Desert CA)
CA
10/04/2004 - 05/12/2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (LOS ANGELES CA)
AZ
07/03/2003 - 09/13/2004
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
MI
09/05/2002 - 02/10/2003
H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)
NA
05/14/1990 - 03/25/1994
CRUTTENDEN & CO., INC.
NA
03/05/1986 - 05/04/1990
SUTRO & CO. INCORPORATED
NA
11/11/1985 - 04/19/1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
11/28/1984 - 11/12/1985
SUTRO & CO. INCORPORATED
NA
07/26/1984 - 11/19/1984
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
BOTH
Issued 10/28/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/04/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/04/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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