Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Francis Dalia has been in the financial services industry since 1984. Robert is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Robert has previously been registered with UBS Financial Services Inc., Citigroup Global Markets Inc., Prudential Securities Incorporated and Greentree Securities Corp. Robert holds the Series 7, Series 63, and Series 65 licenses as well as the SIE license. Robert is registered in 11 states and has experience working with a variety of clients, including individuals, corporations, pension plans, and charitable organizations.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NJ
05/12/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FLORHAM PARK NJ)
NJ
05/28/2004 - 05/16/2011
UBS FINANCIAL SERVICES INC. (FLORHAM PARK NJ)
NY
04/04/1994 - 06/14/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
01/20/1986 - 04/14/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
08/21/1984 - 01/28/1986
GREENTREE SECURITIES CORP.
IA
Issued 01/04/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/28/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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