Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert James Harnett is a financial advisor currently registered with UBS Financial Services Inc. Robert has been in the financial services industry for 37 years. Robert's work experience includes time spent at Wachovia Securities, LLC, Prudential Securities Incorporated and Paine Webber Incorporated. Robert specializes in providing financial advice to high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, and insurance companies. Robert is licensed to practice in Arizona, California, Iowa, Minnesota, North Dakota, South Carolina, and Wisconsin. Robert holds Series 3, 7, 63, and 65 licenses and the SIE exam. Robert's other business activities include serving as a board member for CAMP FRIENDSHIP VENTURES NON PROFIT, and being a part of OBERWEIS INVESTMENT PROPERTIES, LLC.
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.
See schedule d - miscellaneous
1
2
MN
02/04/2014 - Present
UBS Financial Services Inc. (WAYZATA MN)
MO
07/01/2003 - 09/10/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
08/25/1999 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
06/19/1987 - 06/02/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
08/21/1985 - 06/30/1987
PAINEWEBBER INCORPORATED
IA
Issued 07/08/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/21/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/13/1985
Series 3 - National Commodity Futures Examination
BC
Issued 08/17/1985
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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