Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert D. Fink is a financial advisor who has been in the industry since 1986. Robert is currently registered with Stifel, Nicolaus & Company, Inc. and has been with the firm since 2009. Prior to that, Robert was registered with UBS Financial Services Inc. from 1993 to 2009 and with Merrill Lynch, Pierce, Fenner & Smith Incorporated from 1986 to 1993. Robert holds a number of licenses and certifications, including Series 3, 7, 8, 9, 10, 63, and 65. Robert's specialties include financial planning, pension consulting, educational seminars, selection of other advisers, and portfolio management.
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
PA
10/08/2009 - Present
Stifel, Nicolaus & Company, Inc. (JOHNSTOWN PA)
PA
11/05/1993 - 09/25/2009
UBS FINANCIAL SERVICES INC. (ALTOONA PA)
NY
06/24/1986 - 12/01/1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 05/21/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/11/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/06/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/1997
Series 3 - National Commodity Futures Examination
BC
Issued 06/21/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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