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. Smith is an investment advisor representative with Charles Schwab & CO., Inc. Robert has been working in the financial industry since October 25, 2010, and has been registered with the Securities and Exchange Commission (SEC) since May 24, 2016. Robert previously worked for J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., and CAMBRIDGE INVESTMENT RESEARCH, INC. Robert is registered with the SEC as an investment advisor representative in Arizona and California. Robert is also licensed as a registered representative in the following states: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Robert is also a registered principal with Charles Schwab & CO., 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
AZ
02/07/2022 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
AZ
10/01/2012 - 05/24/2016
J.P. MORGAN SECURITIES LLC (SCOTTSDALE AZ)
AZ
06/22/2011 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (CAREFREE AZ)
AZ
10/19/2010 - 06/15/2011
CAMBRIDGE INVESTMENT RESEARCH, INC. (SCOTTSDALE AZ)
BOTH
Issued 02/18/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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