Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roberto? Claim Your ProfileRoberto Frazao is an investment advisor representative at Morgan Stanley. Roberto has been in the industry since 1996. Roberto has Series 7, Series 63, Series 3 and Series 66 licenses as well as SIE. Roberto has experience at Barclays Capital, Lehman Brothers, Deutsche Bank Securities, J.P. Morgan Securities and Morgan Stanley Private Bank. Roberto provides financial planning, educational seminars, portfolio management for businesses and individuals, and portfolio management for investment companies.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
NY
06/22/2021 - Present
Morgan Stanley (New York NY)
NY
09/22/2008 - 01/28/2014
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
11/05/2004 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
06/21/2001 - 11/25/2003
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
03/14/1995 - 03/02/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BOTH
Issued 10/06/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/26/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/2005
Series 3 - National Commodity Futures Examination
BC
Issued 03/13/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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