Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert John Davis is an investment advisor with Oppenheimer & Co. Inc.. Robert has been in the industry for over 20 years and has worked for a number of firms including Wachovia Securities, LLC, Prudential Securities Incorporated, and Advest, Inc.. Robert is registered in Connecticut and New York. Robert is a Series 3, 7, 10, 31, 63, and 65 licensed advisor. Robert is able to provide financial planning, pension consulting, selection of other advisors, portfolio management for businesses and individuals, and portfolio management for pooled investment vehicles.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CT
04/07/2021 - Present
Oppenheimer & Co. Inc. (STAMFORD CT)
NY
08/03/2005 - 10/26/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
CT
04/29/2005 - 08/26/2005
ADVEST, INC. (HARTFORD CT)
MO
07/01/2003 - 04/26/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
09/30/1998 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 10/23/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/07/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/29/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/04/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/2005
Series 3 - National Commodity Futures Examination
BC
Issued 11/17/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 09/29/1998
Series 7 - General Securities Representative Examination
Active
Inactive
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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