Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Capone is an active Broker-Dealer and Investment Advisor Representative with Stifel, Nicolaus & Company, Inc. He has been in the securities industry since 1975 and is registered with the Financial Industry Regulatory Authority (FINRA), and the state of Rhode Island. Robert's career spans over 48 years. He has extensive experience in providing financial planning and portfolio management services to individuals, businesses, and institutions. He 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.
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
RI
07/30/2019 - Present
Stifel, Nicolaus & Company, Inc. (PROVIDENCE RI)
RI
01/01/2008 - 06/19/2009
WELLS FARGO ADVISORS, LLC (PROVIDENCE RI)
RI
02/28/1988 - 01/03/2008
A. G. EDWARDS & SONS, INC. (PROVIDENCE RI)
NA
02/23/1979 - 02/27/1988
MOSELEY SECURITIES CORPORATION
NA
01/26/1977 - 02/23/1979
MOSELEY, HALLGARTEN & ESTABROOK INC
NA
02/09/1972 - 07/29/1973
STONE & WEBSTER SECURITIES
BOTH
Issued 01/23/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/02/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/19/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/1982
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/27/1977
PC - AMEX Put and Call Exam
BC
Issued 01/15/1977
Series 7 - General Securities Representative Examination
BC
Issued 02/01/1972
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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