Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Michael Walters is a financial advisor with Morgan Stanley. Robert has been in the financial industry since 1977, having worked previously at Citigroup Global Markets Inc., Banc of America Securities LLC, ING Barings LLC, Wheat, First Securities, Inc., Alex. Brown & Sons Incorporated, Barclays de Zoete Wedd Incorporated, County NatWest Securities Corporation USA, and Goldman, Sachs & Co. Robert currently holds registrations with the Financial Industry Regulatory Authority (FINRA) and with the state of New York, Connecticut and Oklahoma. Robert has also passed the Uniform Securities Agent State Law Examination, the Uniform Investment Adviser Law Examination, the Securities Industry Essentials Examination, the National Commodity Futures Examination, the Foreign Currency Options Examination, the Interest Rate Options Examination, and the General Securities Representative Examination.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
06/01/2009 - Present
Morgan Stanley (New York NY)
NY
05/23/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
03/06/2001 - 05/27/2003
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
02/20/1998 - 03/14/2001
ING BARINGS LLC (NEW YORK NY)
NC
09/09/1992 - 03/06/1998
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
NA
12/19/1990 - 10/01/1992
ALEX. BROWN & SONS INCORPORATED
NY
11/07/1990 - 12/03/1990
BARCLAYS DE ZOETE WEDD INCORPORATED (NEW YORK NY)
NY
01/05/1987 - 05/01/1990
COUNTY NATWEST SECURITIES CORPORATION USA (NEW YORK NY)
NA
06/01/1977 - 10/03/1986
GOLDMAN, SACHS & CO.
IA
Issued 07/03/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/25/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/2004
Series 3 - National Commodity Futures Examination
BC
Issued 07/18/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 10/08/1982
Series 5 - Interest Rate Options Examination
BC
Issued 05/21/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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