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 frederick Brass is a licensed financial advisor in California with over 20 years of experience in the securities industry. Robert has held positions at several prominent firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Thomas Weisel Partners LLC, and most recently at BOFA SECURITIES, INC. Currently, Robert is registered with Barclays Capital Inc. and is an active securities professional.
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.
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.
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2
CA
01/18/2022 - Present
Barclays Capital Inc. (MENLO PARK CA)
CA
05/10/2019 - 12/22/2021
BOFA SECURITIES, INC. (PALO ALTO CA)
CA
09/07/2018 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PALO ALTO CA)
CA
03/18/2004 - 03/02/2017
MORGAN STANLEY & CO. LLC (MENLO PARK CA)
CA
10/10/2001 - 03/12/2004
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
BC
Issued 11/15/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/14/2019
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/09/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX 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
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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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