Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Edward DeForest is a financial advisor with UBS Financial Services Inc., with over 25 years of experience in the financial services industry. He is registered with the Securities and Exchange Commission (SEC) and holds Series 63, 65, 7, 9, 10, 31 and SIE licenses. Robert has a long history of working with clients to build and manage their wealth. His experience includes working with individuals, families, businesses, and institutions. He provides a wide range of financial services, including investment management, financial planning, retirement planning, and estate planning.
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
FL
05/15/2023 - Present
UBS Financial Services Inc. (WEST PALM BEACH FL)
FL
01/13/2006 - 11/11/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PALM BEACH FL)
MO
12/19/2000 - 01/17/2006
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
AZ
12/16/1998 - 12/06/2000
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
IA
Issued 11/16/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/04/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/25/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/10/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 12/10/1998
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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