Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Brody is a financial advisor with UBS Financial Services Inc. Robert has been in the financial industry since March 2, 1988. Robert is registered with FINRA and the state of Texas. Robert has a wide range of experience in the financial services industry. Robert's experience includes working with high-net-worth individuals, corporations, and charitable organizations. Robert provides a variety of financial services, including financial planning, portfolio management, and investment advisory services.
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.
See schedule d - miscellaneous
1
2
CT
12/08/2011 - Present
UBS Financial Services Inc. (WESTPORT CT)
CT
04/02/2007 - 12/03/2008
MORGAN STANLEY & CO. INCORPORATED (WILTON CT)
CT
02/23/2000 - 04/02/2007
MORGAN STANLEY DW INC. (WILTON CT)
NY
06/14/1995 - 02/18/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 06/22/1995
SMITH BARNEY INC. (NEW YORK NY)
NA
02/29/1988 - 07/31/1993
LEHMAN BROTHERS INC.
NY
02/28/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 05/02/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/22/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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