Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Brien is a financial advisor with over 20 years of experience in the financial services industry. Robert has been with Wells Fargo Clearing Services, LLC since 2012. Robert holds Series 7, 31, 63, and 65 securities licenses and has worked with a variety of clients, including individuals, families, businesses, and institutions. Robert specializes in providing investment consulting services, financial planning, portfolio management, and retirement planning. He is also registered as an investment advisor representative in New York 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.
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.
Investment consulting services to institutional clients
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
NY
01/14/2013 - Present
Wells Fargo Clearing Services, LLC (PITTSFORD NY)
NY
06/01/2009 - 02/16/2012
MORGAN STANLEY SMITH BARNEY (ROCHESTER NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ROCHESTER NY)
NY
03/08/2000 - 04/02/2007
MORGAN STANLEY DW INC. (ROCHESTER NY)
IA
Issued 03/28/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/14/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/23/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 03/06/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe 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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