Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Daniel Spina is a financial advisor with UBS Financial Services Inc. Robert has been in the industry since July 22, 1968, and holds registrations in New York and Texas. Robert has worked at Morgan Stanley, Citigroup Global Markets Inc., Morgan Stanley DW Inc., Reynolds Securities, Inc. and Goodbody & Co. Incorporated. Robert holds the Series 63, 24, 40, 12, 7TO, SIE, PC, and 1 licenses.
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
NY
09/02/2015 - Present
UBS Financial Services Inc. (JERICHO NY)
NY
06/01/2009 - 04/07/2015
MORGAN STANLEY (JERICHO NY)
NY
06/03/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (JERICHO NY)
NY
02/24/1978 - 06/06/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NA
02/01/1971 - 02/24/1978
REYNOLDS SECURITIES, INC.
NA
07/23/1968 - 04/26/1971
GOODBODY & CO. INCORPORATED
BC
Issued 03/04/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 08/23/1972
Series 40 - Registered Principal Examination
BC
Issued 08/07/1972
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/1977
PC - AMEX Put and Call Exam
BC
Issued 04/17/1967
Series 1 - Registered 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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