Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Paul Compton is an investment advisor representative currently registered with Wells Fargo Clearing Services, LLC. Robert Paul Compton has been in the financial services industry for over 40 years and holds a Series 3, 5, 7, 63, and 65 license. Robert Paul Compton also holds a SIE license. Robert Paul Compton previously worked at Morgan Stanley, Citigroup Global Markets Inc., Lehman Brothers Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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
MO
06/08/2015 - Present
Wells Fargo Clearing Services, LLC (CHESTERFIELD MO)
MO
06/01/2009 - 06/18/2015
MORGAN STANLEY (CLAYTON MO)
MO
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CLAYTON MO)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
02/22/1988 - 04/11/1988
E. F. HUTTON & COMPANY INC
NA
03/30/1982 - 02/22/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 10/02/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/31/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/07/1988
Series 3 - National Commodity Futures Examination
BC
Issued 04/27/1982
Series 5 - Interest Rate Options Examination
BC
Issued 03/20/1982
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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