Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Gordon Katz is an investment advisor with over 40 years of experience. Robert is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since 2010. Robert has previously worked for Morgan Stanley Smith Barney, Citigroup Global Markets Inc. and Lehman Brothers Inc. Robert holds Series 7, 31, 63 and 65 licenses and the SIE. Robert is registered in 32 states and specializes in providing financial planning, investment consulting services to institutional clients, pension consulting, selection of other advisors, portfolio management for businesses and portfolio management for individuals.
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
NY
03/30/2010 - Present
Wells Fargo Clearing Services, LLC (ROCHESTER NY)
NY
06/01/2009 - 04/14/2010
MORGAN STANLEY SMITH BARNEY (ROCHESTER NY)
NY
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ROCHESTER NY)
NY
07/18/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/27/1982 - 07/01/1988
DEAN WITTER REYNOLDS INC.
IA
Issued 09/01/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/19/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/06/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 03/17/1984
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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