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 Walter is an active investment advisor representative, registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in New York. Robert has been in the industry since October 8, 1992, and has passed several professional exams, including Series 3, 7, 9, 10, 63 and 65. Robert is registered in 53 states and the District of Columbia. Robert's current position with Merrill Lynch, Pierce, Fenner & Smith Inc. is located in Williamsville, New York. In addition to the investment advisor representative role, Robert Walter is a Committee Employee for the USGA. Robert's specializations include portfolio management for businesses, individuals, and pooled investment vehicles, along with pension consulting and educational seminars.
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
NY
10/18/2000 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WILLIAMSVILLE NY)
IA
Issued 10/20/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/30/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/07/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/2005
Series 3 - National Commodity Futures Examination
BC
Issued 10/07/1992
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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