Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Darien Tapia has been active in the financial services industry since March 2004 and is currently registered with Mariner Independent. Robert is a Series 7, 6, 31, 63 and 65 licensed representative. He is registered to provide investment advice in Arizona, California, Hawaii and Texas. Robert's previous employment experience includes WADDELL & REED, MORGAN STANLEY SMITH BARNEY, CITIGROUP GLOBAL MARKETS INC., and NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
04/02/2020 - Present
Mariner Independent (Los Gatos CA)
CA
01/20/2011 - 01/23/2017
WADDELL & REED (CAMPBELL CA)
CA
06/01/2009 - 02/01/2011
MORGAN STANLEY SMITH BARNEY (SAN JOSE CA)
CA
03/20/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SAN JOSE CA)
CA
03/30/2004 - 03/21/2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SAN JOSE CA)
IA
Issued 06/07/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/05/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/08/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 05/19/2006
Series 7 - General Securities Representative Examination
BC
Issued 03/26/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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