Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert J Davies is a financial advisor with over 37 years of experience in the financial services industry. Robert J Davies is currently registered with J.P. Morgan Securities LLC. Robert J Davies has also been registered with Chase Investment Services Corp., WAMU Investments, Inc., J. P. Morgan Invest, LLC and The Stuart-James Company, Inc. Robert J Davies holds Series 7, 9, 10, 14, 24, 63, 66, 99TO and SIE licenses. Robert J Davies is registered with the following states: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin and Wyoming.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
TX
09/08/2017 - Present
J.p. Morgan Securities LLC (SAN ANTONIO TX)
TX
05/02/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SAN ANTONIO TX)
CA
03/06/2006 - 05/02/2009
WAMU INVESTMENTS, INC. (FULLERTON CA)
MA
08/16/1984 - 02/18/2005
J. P. MORGAN INVEST, LLC (BOSTON MA)
NA
05/24/1984 - 08/09/1984
THE STUART-JAMES COMPANY, INC.
BOTH
Issued 09/01/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/25/1989
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 11/29/1999
Series 4 - Registered Options Principal Examination
BC
Issued 06/02/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/25/1998
Series 14 - Compliance Officer Examination
BC
Issued 07/06/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1984
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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