Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Sorenson Smith is a financial professional with over 20 years of experience in the industry. Robert is currently registered with Stifel, Nicolaus & Company, Inc. in the Stamford, CT branch office. Prior to joining Stifel, Nicolaus & Company, Inc., Robert worked at First Empire Securities, Inc., Oppenheimer & Co. Inc., and Kimberlite Advisors, LLC among others. Robert specializes in providing financial advice and portfolio management services for individuals, businesses, and pooled investment vehicles. Robert is also a registered principal with Series 24 and holds several other securities licenses including Series 3, 7, 63, 66, and 79TO.
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.
1
2
CT
03/15/2019 - Present
Stifel, Nicolaus & Company, Inc. (STAMFORD CT)
NY
03/13/2018 - 03/15/2019
FIRST EMPIRE SECURITIES, INC. (HAUPPAUGE NY)
NY
08/03/2016 - 03/07/2017
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
07/16/2014 - 08/02/2016
KIMBERLITE ADVISORS, LLC (NEW YORK NY)
NY
11/20/2012 - 06/10/2013
GLEACHER & COMPANY SECURITIES, INC. (NEW YORK NY)
CT
11/05/2010 - 03/04/2011
RANGEMARK CAPITAL MARKETS, INC. (GREENWICH CT)
NY
07/07/1998 - 10/17/2001
MARINER GROUP CAPITAL MARKETS, INC. (HARRISON NY)
NY
11/20/1992 - 12/13/1994
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
05/02/1985 - 11/13/1992
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NA
03/22/1984 - 04/10/1985
BEVILL, BRESLER & SCHULMAN SECURITIES INC.
BOTH
Issued 03/01/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/02/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/23/2010
Series 24 - General Securities Principal Examination
BC
Issued 07/09/2019
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/2010
Series 7 - General Securities Representative Examination
BC
Issued 01/23/1992
Series 3 - National Commodity Futures 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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