Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Franklin Shwedel is a financial professional with over 40 years of experience in the financial services industry. Robert is currently a Registered Representative with Wells Fargo Clearing Services, LLC in Walnut Creek, CA. Robert's career in the industry began in 1977 and has included previous roles with UBS Financial Services Inc., Piper Jaffray & Co., Smith Barney Inc., Lehman Brothers Inc., Dean Witter Reynolds Inc., First Affiliated Securities, Inc., Paine, Webber, Jackson & Curtis Incorporated, and Dean Witter & Co. Incorporated.
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.
Investment consulting services to institutional clients
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.
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2
CA
11/30/2020 - Present
Wells Fargo Clearing Services, LLC (WALNUT CREEK CA)
CA
08/12/2006 - 11/09/2012
UBS FINANCIAL SERVICES INC. (WALNUT CREEK CA)
CA
07/27/1998 - 08/12/2006
PIPER JAFFRAY & CO. (WALNUT CREEK CA)
NY
07/31/1993 - 07/28/1998
SMITH BARNEY INC. (NEW YORK NY)
NY
04/17/1979 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
02/24/1978 - 02/20/1991
DEAN WITTER REYNOLDS INC.
NA
09/20/1978 - 05/14/1979
FIRST AFFILIATED SECURITIES, INC.
NA
08/08/1977 - 11/24/1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
NA
01/03/1977 - 02/24/1978
DEAN WITTER & CO. INCORPORATED
IA
Issued 04/21/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/16/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/09/1995
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/24/1981
Series 24 - General Securities Principal Examination
BC
Issued 04/13/1981
Series 4 - Registered Options Principal Examination
BC
Issued 04/11/1981
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 12/18/1976
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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