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 Ward is a financial professional with over 20 years of experience in the financial services industry. Robert is currently registered as a Registered Representative with Merrill Lynch, Pierce, Fenner & Smith Inc., a leading financial services firm. Robert specializes in providing financial planning, portfolio management, and other investment-related services. In addition to being an investment advisor, Robert is also a Registered Principal, which means that Robert is qualified to supervise other investment professionals. Robert has held a variety of positions at different firms over the years, including Sorrento Pacific Financial, LLC and HSBC Securities (USA) INC.
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
06/08/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RIVERHEAD NY)
NY
08/01/2014 - 09/05/2014
SORRENTO PACIFIC FINANCIAL, LLC (Riverhead NY)
NY
06/09/2008 - 09/11/2012
HSBC SECURITIES (USA) INC. (HAMPTON BAYS NY)
NY
07/14/2007 - 06/06/2008
HSBC SECURITIES (USA) INC. (BOHEMIA NY)
NY
04/24/2002 - 03/13/2007
CITICORP INVESTMENT SERVICES (JERICHO NY)
NY
11/23/1999 - 10/10/2001
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
MA
07/12/1999 - 07/13/2000
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
05/08/1997 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
MA
06/14/1996 - 10/25/1996
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
IA
Issued 06/30/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/26/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/29/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/13/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/07/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/23/2001
Series 7 - General Securities Representative Examination
BC
Issued 06/13/1996
Series 6 - Investment Company Products/Variable Contracts 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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