Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Baptist is a financial advisor with LPL Financial LLC, a leading independent broker-dealer and financial advisory firm. Robert has been in the financial services industry since 1987. Robert holds the Series 3, 7, 24, 63, and 65 licenses. Robert specializes in providing financial planning, investment management, and retirement planning services to individuals, families, and businesses.
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.
Consulting and other non-discretionary advisory services
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
CT
08/17/2022 - Present
LPL Financial LLC (NORWALK CT)
CT
03/13/1996 - 08/17/2022
PEOPLE'S SECURITIES, INC. (WESTPORT CT)
NY
07/31/1993 - 08/29/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
11/17/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
05/22/1989 - 11/09/1992
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
09/23/1987 - 05/22/1989
DREXEL BURNHAM LAMBERT INCORPORATED
IA
Issued 12/11/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/20/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/1987
Series 7 - General Securities Representative Examination
BC
Issued 08/17/1987
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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