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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Michael Di falco is a financial advisor with Raymond James & Associates, Inc. with over 30 years of experience in the industry. Robert Di falco's professional background spans multiple firms including UBS Financial Services Inc. and Prudential Securities Incorporated. Robert Michael Di falco holds a Series 63, Series 65, Series 3, Series 7, and Series 9, Series 10, and Series 8. Robert Michael Di falco is registered in 14 states. Robert Michael Di falco is currently licensed as an investment advisor representative in New Jersey and Pennsylvania. Robert Michael Di falco provides financial planning, portfolio management for individuals and businesses, and pension consulting.
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.
Please see note in schedule d - miscellaneous
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
PA
04/02/2014 - Present
Raymond James & Associates, Inc. (NEWTOWN PA)
NJ
05/18/2001 - 10/02/2009
UBS FINANCIAL SERVICES INC. (PRINCETON NJ)
NY
01/23/1985 - 05/21/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 02/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/01/1985
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 07/28/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/24/1999
Series 3 - National Commodity Futures Examination
BC
Issued 01/19/1985
Series 7 - General Securities 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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