Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Winter is a financial advisor at Stifel, Nicolaus & Company, Inc. with over 25 years of experience in the financial services industry. Robert has held previous positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated and UBS Paine Webber Inc.. Robert has a wide range of experience in providing financial advice and investment management services to individuals, families, businesses, and institutions. Robert holds the Series 3, 6, 7, 9, 10, 26, 31, and 63 licenses, and is a Registered Investment Advisor in Texas.
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.
1
2
TX
10/22/2019 - Present
Stifel, Nicolaus & Company, Inc. (SOUTHLAKE TX)
TX
04/11/2003 - 10/23/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SOUTHLAKE TX)
NJ
12/24/1998 - 04/30/2003
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
GA
01/06/1997 - 12/17/1998
PFS INVESTMENTS INC. (DULUTH GA)
IA
Issued 03/10/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/29/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/23/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/28/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/16/1997
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/2013
Series 3 - National Commodity Futures Examination
BC
Issued 10/13/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 02/24/1999
Series 7 - General Securities Representative Examination
BC
Issued 01/03/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX 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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