Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Fleming is a Financial Advisor, Investment Advisor Representative and Registered Representative at Oppenheimer & Co. Inc. Robert has over 25 years of experience in the financial services industry and has held positions at a number of well-known firms including Citigroup Global Markets Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Robert holds several licenses and certifications, including the Series 7, Series 9, Series 10, Series 24, and Series 63 exams. Robert is also a Registered Options Principal. Oppenheimer & Co. Inc. provides financial advice to individuals, high-net-worth individuals, corporations and other businesses, charitable organizations, pension and profit sharing plans, insurance companies, investment companies, and pooled investment vehicles.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
NY
06/05/2019 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
05/06/2013 - 08/24/2018
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/01/2010 - 12/15/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/11/2007 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
01/16/1996 - 11/01/2006
TD AMERITRADE, INC. (NEW YORK NY)
NY
05/20/1994 - 07/27/1995
M.S. FARRELL & COMPANY, INC. (SYOSSET NY)
BC
Issued 06/01/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/05/2004
Series 24 - General Securities Principal Examination
BC
Issued 12/30/2003
Series 4 - Registered Options Principal Examination
BC
Issued 09/22/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 08/24/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1994
Series 7 - General Securities Representative Examination
Active
Inactive
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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