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 Thompson is a financial advisor with Stifel, Nicolaus & Company, Inc. Robert has been in the financial industry since 1984, and has experience in various areas, including securities, investments, and options. Robert is registered with the state of California as an Investment Advisor Representative (IAR). Robert provides a variety of advisory services to individuals, corporations, and other entities. These services include financial planning, pension consulting, educational seminars, and portfolio management. Robert is also registered with the state of California as a Registered Representative (RR). Robert holds the Series 3, Series 7, Series 9, Series 10, and Series 63 securities licenses.
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.
1
2
CA
05/12/2016 - Present
Stifel, Nicolaus & Company, Inc. (STOCKTON CA)
CA
06/01/2009 - 06/10/2016
MORGAN STANLEY (STOCKTON CA)
CA
02/01/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (STOCKTON CA)
CA
01/01/2008 - 02/07/2008
WACHOVIA SECURITIES, LLC (STOCKTON CA)
CA
12/03/1984 - 01/03/2008
A. G. EDWARDS & SONS, INC. (STOCKTON CA)
NA
06/21/1984 - 12/07/1984
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
BC
Issued 06/15/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/27/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/24/1987
Series 3 - National Commodity Futures Examination
BC
Issued 05/19/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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