Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Thompson is a financial advisor with over 35 years of experience in the industry. Robert is a registered representative of Raymond James & Associates, Inc. and has held previous roles at other well-known firms such as Wells Fargo Clearing Services, LLC and Morgan Stanley DW Inc. Robert is registered to provide investment advice in multiple states, including Illinois, Florida and Texas. Robert holds a wide array of industry licenses, including Series 3, 7, 9, 10, 63 and 65. Robert offers a variety of financial services to individuals, corporations and institutions, including portfolio management, financial planning and retirement planning.
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
IL
12/12/2019 - Present
Raymond James & Associates, Inc. (Chicago IL)
IL
04/07/2006 - 11/21/2019
WELLS FARGO CLEARING SERVICES, LLC (CHICAGO IL)
NY
10/09/2000 - 04/10/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
MO
01/30/1989 - 10/09/2000
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NA
05/04/1988 - 02/16/1989
SHEARSON LEHMAN HUTTON INC.
NA
04/24/1984 - 05/05/1988
A. G. EDWARDS & SONS, INC.
IA
Issued 03/23/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/01/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/07/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/07/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/2002
Series 3 - National Commodity Futures Examination
BC
Issued 04/14/1984
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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