Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Stringer is a financial advisor with over 30 years of experience in the industry. Robert has worked with various firms including Morgan Stanley, Paine Webber Incorporated, and UBS Financial Services Inc. Robert currently holds both Series 7 and Series 63 licenses, along with the Series 8 license and the Series 65 license. Robert is registered to provide investment advisory services in California and Texas.
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
CA
04/10/2017 - Present
UBS Financial Services Inc. (Los Angeles CA)
CA
06/01/2009 - 10/07/2015
MORGAN STANLEY (BEVERLY HILLS CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BEVERLY HILLS CA)
CA
03/02/2007 - 04/02/2007
MORGAN STANLEY DW INC. (BEVERLY HILLS CA)
CA
01/03/2003 - 03/09/2007
OPPENHEIMER & CO. INC. (LOS ANGELES CA)
NY
01/02/1996 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NJ
07/08/1991 - 12/11/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
04/29/1987 - 07/17/1991
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
IA
Issued 12/06/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/05/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/22/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1987
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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