Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Lester Waring is a financial advisor with over 40 years of experience in the financial services industry. Robert currently works at LPL Financial LLC and is registered in multiple states including Arizona, California, Idaho, Illinois, Montana, New Hampshire, New York, North Carolina, Ohio, Oregon, Texas, Utah and Virginia. Robert specializes in providing financial planning, portfolio management, pension consulting, and educational seminars to individuals, businesses, and charitable organizations. Prior to joining LPL Financial LLC, Robert worked at Securities America, Inc., First Affiliated Securities, Inc., PFG Securities, Inc., Integrated Resources Equity Corporation, Financial Planners Equity Corporation, Transamerica Fund Sales, Inc., and Independent Financial Planners Corporation. Robert holds the Series 1, 63, 65, and 22TO licenses. Robert is dedicated to helping clients achieve their financial goals.
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.
Consulting and other non-discretionary advisory services
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
AZ
03/22/2013 - Present
LPL Financial LLC (PRESCOTT AZ)
NE
11/15/1990 - 10/04/1996
SECURITIES AMERICA, INC. (LAVISTA NE)
CA
08/25/1989 - 11/14/1990
FIRST AFFILIATED SECURITIES, INC. (LA JOLLA CA)
NA
03/16/1988 - 08/25/1989
PFG SECURITIES, INC.
NA
12/24/1987 - 03/24/1988
INTEGRATED RESOURCES EQUITY CORPORATION
NA
05/11/1982 - 12/24/1987
FINANCIAL PLANNERS EQUITY CORPORATION
NA
06/20/1975 - 08/18/1983
TRANSAMERICA FUND SALES, INC.
NA
02/02/1982 - 04/30/1982
INDEPENDENT FINANCIAL PLANNERS CORPORATION
IA
Issued 08/27/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/23/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1975
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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