Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Firth is a financial advisor with over 30 years of experience in the industry. Currently, Robert Firth is registered as a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Robert Firth has held previous positions at NEUBERGER BERMAN, LLC, NEUBERGER & BERMAN, LLC, and SANFORD C. BERNSTEIN & CO., INC.. Robert Firth is registered in 17 states. Robert Firth offers a variety of services to clients including Portfolio management for individuals and businesses, pension consulting, selection of other advisors, and educational seminars.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
04/30/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DALLAS TX)
TX
02/25/1997 - 04/08/2008
NEUBERGER BERMAN, LLC (DALLAS TX)
NA
02/22/1997 - 09/17/1998
NEUBERGER & BERMAN, LLC
NY
12/05/1995 - 12/05/1996
SANFORD C. BERNSTEIN & CO., INC. (NEW YORK NY)
IA
Issued 11/15/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/24/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/21/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/2013
Series 3 - National Commodity Futures Examination
BC
Issued 02/20/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 12/04/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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