Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Mosberg is an investment advisor representative who has been in the financial industry since 1982. Robert is currently registered with Wealthpenn.comllc and has been registered with UBS Financial Services Inc., Wells Fargo Advisors, LLC, Advest, Inc., Tucker Anthony Incorporated and Legg Mason Wood Walker, Incorporated. Robert holds a variety of licenses including Series 7, Series 3, Series 63, Series 66, Series 55 and SIE. Robert's specializations include Portfolio Management for Individuals, Portfolio Management for Businesses, Portfolio Management for Investment Companies, Financial Planning, Educational Seminars and Selection of Other Advisers.
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
08/25/2022 - Present
Wealthpenn.comllc (New York NY)
NY
01/31/2014 - 09/06/2022
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
12/02/2005 - 02/03/2014
WELLS FARGO ADVISORS, LLC (NEW YORK NY)
CT
02/06/2002 - 12/21/2005
ADVEST, INC. (HARTFORD CT)
MA
10/07/1982 - 03/07/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NA
06/16/1982 - 10/12/1982
LEGG MASON WOOD WALKER, INCORPORATED
BOTH
Issued 10/17/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 7/1/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/24/2014
Series 3 - National Commodity Futures Examination
BC
Issued 4/17/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 2/1/1977
PC - AMEX Put and Call Exam
BC
Issued 12/8/1967
Series 000 - General Securities Principal Examination
BC
Issued 12/8/1967
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Robert Mosberg is the right advisor for you? Invested Better is here to help.
Copyright 2024 Invested Better
Invested Better, LLC ("Invested Better") provides a matching service whereby users are connected with third-party financial advisors ("Advisors") who are registered and licensed as financial advisors in the United States and have elected to participate in our matching platform. Information provided by users through our online questionnaire facilitates the determination of suitable Advisor matches. Invested Better receives a set cost per lead compensation from Advisors in exchange for this referral service.
Please be advised that Invested Better does not evaluate the ongoing performance of any Advisor, nor does it participate in the management of user accounts or provide advice regarding specific investments. We do not manage client funds or hold assets in custody. Our role is solely to facilitate connections between users and potentially suitable financial advisors. All investing involves inherent risks, including the potential loss of principal. There is no guarantee that working with an advisor will result in positive returns. Potential downsides include the payment of fees, which can reduce overall returns. The existence of a fiduciary duty does not preclude the potential for conflicts of interest.
Invested Better maintains a directory of all actively registered financial advisors and firms based on the public filings with FINRA and SEC. Advisors and firms may verify their identity to claim and take control to update and edit their profile information. Invested Better does not guarantee the accuracy of any information updated by advisors or firms on their profile.
