Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert L Brown is a financial advisor with over 40 years of experience in the industry. Robert is currently registered with UBS Financial Services Inc. and has held previous registrations with Drexel Burnham Lambert Incorporated, J. David Securities, Inc., Oppenheimer & Co., Inc. and Becker Securities Incorporated. Robert holds licenses for Series 3, Series 5, Series 7, Series 63, and Series 65 exams, along with the SIE exam. Robert serves clients in various capacities, including financial planning, pension consulting, educational seminars, and portfolio management for individuals 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.
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
IL
07/05/2006 - Present
UBS Financial Services Inc. (NORTHBROOK IL)
NA
03/09/1984 - 06/22/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
05/18/1983 - 03/02/1984
J. DAVID SECURITIES, INC.
NA
06/21/1978 - 04/27/1983
OPPENHEIMER & CO., INC.
NA
07/26/1977 - 06/30/1978
BECKER SECURITIES INCORPORATED
IA
Issued 03/15/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/19/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/08/1985
Series 3 - National Commodity Futures Examination
BC
Issued 10/19/1981
Series 5 - Interest Rate Options Examination
BC
Issued 07/16/1977
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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