Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Willard Finley is an investment advisor representative with Oppenheimer & Co. Inc. Robert Finley has been in the securities industry since February 24, 1971. Robert Finley has passed the Series 7TO, SIE, PC, Series 5, and Series 1 exams. Robert Finley is registered in 20 states as an investment advisor representative. Prior to Oppenheimer & Co. Inc., Robert Finley was employed at Howe Barnes Hoefer & Arnett, Inc. from April 19, 1994 to July 1, 2008 and Everen Securities, Inc. from September 4, 1990 to April 13, 1994.
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.
1
2
IL
12/12/2016 - Present
Oppenheimer & Co. Inc. (CHICAGO IL)
IL
04/19/1994 - 07/01/2008
HOWE BARNES HOEFER & ARNETT, INC. (CHICAGO IL)
MO
09/04/1990 - 04/13/1994
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
01/25/1984 - 09/04/1990
PRESCOTT, BALL & TURBEN, INC.
NA
01/30/1979 - 01/25/1984
BURTON J. VINCENT, CHESLEY & CO.
NA
06/11/1975 - 10/16/1977
REYNOLDS SECURITIES, INC.
NA
11/08/1974 - 07/26/1975
SHEARSON HAYDEN STONE INC.
NA
10/26/1973 - 11/08/1974
HAYDEN STONE INC.
NA
05/06/1971 - 10/26/1973
H. HENTZ & CO., INC.
NA
10/28/1969 - 04/25/1971
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
BOTH
Issued 12/12/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 3/13/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/26/1986
PC - AMEX Put and Call Exam
BC
Issued 1/25/1983
Series 5 - Interest Rate Options Examination
BC
Issued 9/20/1968
Series 1 - Registered 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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