Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Charles Ungerer is a financial advisor with Stifel, Nicolaus & Company, Inc. with over 40 years of experience in the financial services industry. Robert is a Certified Financial Planner. Robert's firm provides financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals, and portfolio management for pooled investment vehicles. Robert has Series 7, 5, 15, 24, 53, and 63 licenses, and is registered to provide investment advice in multiple states including New York and Texas.
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
NY
02/05/2020 - Present
Stifel, Nicolaus & Company, Inc. (HAUPPAUGE NY)
NY
01/01/2008 - 02/03/2010
WELLS FARGO ADVISORS, LLC (SMITHTOWN NY)
NY
08/30/1994 - 01/03/2008
A. G. EDWARDS & SONS, INC. (SMITHTOWN NY)
NY
05/25/1993 - 09/28/1994
SANDGRAIN SECURITIES, INC. (GARDEN CITY NY)
NY
03/01/1978 - 06/04/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 07/19/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/28/1994
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/22/1993
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/07/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 11/19/1981
Series 5 - Interest Rate Options Examination
BC
Issued 02/18/1978
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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