Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert William Stocking is a financial advisor with over 30 years of experience in the industry. Robert is currently registered with Raymond James & Associates, Inc. and has also previously worked at B. C. Ziegle and Company, GS2 Securities, Inc., Heartland Advisors, Inc., Northwestern Mutual Investment Services, Inc., Robert W. Baird & Co. Incorporated and The Equitable Life Assurance Society of the United States. Robert holds the Series 6, 7, 99TO, and SIE licenses. Robert specializes in various financial services including portfolio management for businesses, portfolio management for individuals, and financial planning.
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
IL
05/05/2000 - Present
Raymond James & Associates, Inc. (Chicago IL)
IL
01/01/1999 - 05/02/2000
B. C. ZIEGLER AND COMPANY (CHICAGO IL)
WI
12/08/1997 - 01/01/1999
GS2 SECURITIES, INC. (MILWAUKEE WI)
WI
06/01/1995 - 12/03/1997
HEARTLAND ADVISORS, INC. (MILWAUKEE WI)
WI
11/20/1992 - 06/23/1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC. (MILWAUKEE WI)
WI
11/20/1992 - 06/23/1993
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
NY
10/14/1991 - 08/07/1992
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
10/14/1991 - 08/07/1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
BC
Issued 10/11/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/24/1995
Series 7 - General Securities Representative Examination
BC
Issued 10/11/1991
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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