Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Frakes is a financial advisor with over 30 years of experience in the industry. Robert has held various roles with firms such as Morgan Stanley, Citigroup Global Markets Inc., and Legg Mason Wood Walker, Incorporated. Robert is currently registered with Wells Fargo Clearing Services, LLC and holds a variety of licenses and certifications including Series 65, Series 63, Series 7, Series 10, Series 9, and Series 24. Robert is also a registered Investment Advisor in the state of Virginia and Texas. Robert provides a variety of services including financial planning, portfolio management for individuals and businesses, and investment consulting services to institutional clients.
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.
1
2
VA
06/19/2018 - Present
Wells Fargo Clearing Services, LLC (HARRISONBURG VA)
VA
06/01/2009 - 06/20/2018
MORGAN STANLEY (HARRISONBURG VA)
VA
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HARRISONBURG VA)
VA
07/11/2000 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (HARRISONBURG VA)
VA
04/23/1986 - 07/14/2000
BRANCH, CABELL & CO., INC. (RICHMOND VA)
IA
Issued 10/05/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/24/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/30/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/23/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/13/1995
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/12/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 04/19/1986
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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