Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Regent is a financial advisor with Raymond James & Associates, Inc. located in Weston, FL. Robert has been in the securities industry since February 1992. Robert is registered with the state of Florida as an Investment Advisor Representative and a Registered Representative. Robert has passed the Series 7, Series 63, Series 65, and SIE exams. Robert has previously worked for Ameriprise Financial Services, Inc., Ameriprise Advisor Services, Inc., Citigroup Global Markets Inc., and Lehman Brothers 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.
Please see note in schedule d - miscellaneous
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
FL
04/23/2018 - Present
Raymond James & Associates, Inc. (Weston FL)
FL
10/05/2009 - 04/23/2018
AMERIPRISE FINANCIAL SERVICES, INC. (Ft Lauderdale FL)
FL
04/14/2008 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (FT. LAUDERDALE FL)
FL
07/31/1993 - 04/24/2008
CITIGROUP GLOBAL MARKETS INC. (HALLANDALE FL)
NY
07/30/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
FL
02/03/1992 - 07/10/1992
A. F. BEST SECURITIES, INC. (CORAL SPRINGS FL)
IA
Issued 09/23/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/06/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/30/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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