Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Moshe Thompson is a financial advisor with RBC Capital Markets, LLC. Robert has been in the securities industry since 1994. Robert has held various positions in the financial services industry, including positions at Merrill Lynch, UBS Financial Services Inc., Kidder, Peabody & Co. Incorporated, and Smith Barney Inc. Robert is registered with the following securities regulators: FINRA and the states of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Idaho, Illinois, Indiana, Kentucky, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Montana, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, and Wisconsin. Robert has earned the following professional designations: Series 31, Series 7, Series 9, Series 10, Series 63, and Series 65.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
OH
01/13/2022 - Present
RBC Capital Markets, LLC (Toledo OH)
OH
11/13/2008 - 01/14/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (TOLEDO OH)
OH
01/28/1995 - 11/24/2008
UBS FINANCIAL SERVICES INC. (SYLVANIA OH)
NY
12/13/1994 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
04/27/1994 - 12/19/1994
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 04/09/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/17/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/03/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/12/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 04/26/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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