Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Sperling is a financial advisor currently registered with Wedbush Securities Inc. Robert has been in the financial industry since 1984 and is currently active in both the broker-dealer and investment advisory businesses. Robert holds licenses in 18 states and has obtained a number of industry licenses and qualifications including Series 7, Series 9, Series 10, and Series 63. In addition to Wedbush Securities, Robert has also worked at Paine Webber Incorporated, Lehman Brothers Inc., Dean Witter Reynolds Inc., Empire National Securities, Incorporated, and Baraban Securities, Inc.
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.
1
2
CA
11/22/2017 - Present
Wedbush Securities Inc. (LOS ANGELES CA)
CA
03/19/1996 - 07/30/2001
TRIQUEST FINANCIAL, INC. (GLENDALE CA)
NJ
10/11/1994 - 03/08/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
11/02/1990 - 10/12/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
08/31/1989 - 11/14/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
08/12/1987 - 08/24/1989
EMPIRE NATIONAL SECURITIES, INCORPORATED
NA
04/18/1984 - 07/27/1987
BARABAN SECURITIES, INC.
BC
Issued 04/13/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/13/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/15/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/14/1984
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
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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