Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Sullivan Chase has been in the financial services industry since 1999. Chase is currently registered as a Registered Representative with Raymond James & Associates, Inc. in Lakeland, Florida. He is also registered as an Investment Advisor Representative in Florida and Texas. Prior to joining Raymond James, Chase worked for MORGAN STANLEY SMITH BARNEY, CITIGROUP GLOBAL MARKETS INC. and THE HUNTINGTON INVESTMENT COMPANY. Chase holds the Series 6, 7, 63, and 65 licenses as well as the SIE exam. Chase is a licensed financial advisor in 26 states and the District of Columbia.
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
06/13/2011 - Present
Raymond James & Associates, Inc. (LAKELAND FL)
FL
06/01/2009 - 06/30/2011
MORGAN STANLEY SMITH BARNEY (LAKELAND FL)
FL
03/22/2001 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LAKELAND FL)
OH
12/10/1996 - 03/31/1998
THE HUNTINGTON INVESTMENT COMPANY (COLUMBUS OH)
IA
Issued 04/03/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/28/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/2001
Series 7 - General Securities Representative Examination
BC
Issued 12/09/1996
Series 6 - Investment Company Products/Variable Contracts 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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