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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Christopher Duff has been in the financial services industry since 1984. Duff is currently registered with UBS Financial Services Inc. in Florida, Pennsylvania and Texas as a Registered Representative and Investment Advisor Representative. Duff has previously worked at Wachovia Securities, LLC in Pittsburgh, Pennsylvania and Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, New York. Duff is a graduate of The University of Pennsylvania with a bachelor of arts degree in Economics. Duff also holds the following FINRA securities licenses: Series 3, Series 5, Series 7 and Series 63.
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.
See schedule d - miscellaneous
1
2
PA
09/10/2009 - Present
UBS Financial Services Inc. (SEWICKLEY PA)
PA
11/03/1999 - 10/20/2008
WACHOVIA SECURITIES, LLC (PITTSBURGH PA)
NY
10/27/1994 - 11/09/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/06/1992 - 11/02/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
05/10/1989 - 08/12/1992
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
10/02/1984 - 06/06/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
08/01/1984 - 09/12/1984
HOLMES, FERGUSON & CO., INC.
IA
Issued 04/29/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/03/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/1984
Series 5 - Interest Rate Options Examination
BC
Issued 10/08/1984
Series 3 - National Commodity Futures Examination
BC
Issued 07/21/1984
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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