Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Nicholas edward Caine is a financial advisor registered with Stifel, Nicolaus & Company, Inc.. Robert has been in the industry since December 13, 2015. Robert specializes in portfolio management for businesses and individuals, as well as financial planning, pension consulting, educational seminars, and selection of other advisors. Robert is licensed in Arizona and New Mexico.
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.
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2
AZ
09/15/2023 - Present
Stifel, Nicolaus & Company, Inc. (PHOENIX AZ)
GA
07/12/2022 - 09/07/2023
BLACKROCK INVESTMENTS, LLC (Atlanta GA)
GA
03/04/2020 - 06/08/2022
INVESCO DISTRIBUTORS, INC. (ATLANTA GA)
NM
05/08/2018 - 02/19/2020
THORNBURG SECURITIES CORPORATION (SANTA FE NM)
NY
12/22/2015 - 04/24/2018
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)
NY
08/05/2015 - 10/16/2015
AXA ADVISORS, LLC (NEW YORK NY)
BOTH
Issued 09/02/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/13/2023
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 10/23/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/05/2015
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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