Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rufus? Claim Your ProfileRufus Alston Roberts is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Rufus Alston Roberts is licensed in Texas and Louisiana and has been in the industry since 1992. Rufus Alston Roberts specializes in providing financial advice to individuals, businesses, corporations, insurance companies, pension plans, charitable organizations, and state or municipal government entities. Rufus Alston Roberts has worked for a number of firms over the years, including MORGAN STANLEY SMITH BARNEY LLC, BBVA SECURITIES INC. and USAA FINANCIAL ADVISORS, INC. Rufus Alston Roberts is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Incorporated and offers securities and investment advisory services through Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
TX
02/08/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DALLAS TX)
TX
05/05/2015 - 11/17/2022
MORGAN STANLEY (Dallas TX)
TX
01/03/2014 - 12/03/2014
BBVA SECURITIES INC. (FORT WORTH TX)
TX
05/17/2012 - 12/09/2013
USAA FINANCIAL ADVISORS, INC. (DALLAS TX)
TX
10/23/2009 - 01/03/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
TX
01/01/1998 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (DALLAS TX)
CA
03/19/1999 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
NA
06/07/1993 - 01/01/1998
NATIONSSECURITIES
MA
08/03/1992 - 06/07/1993
NATIONSBANC SECURITIES, INC. (BOSTON MA)
NY
05/02/1991 - 07/31/1992
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 9/18/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 5/8/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 2/26/1997
Series 53 - Municipal Securities Principal Examination
BC
Issued 8/2/1995
Series 4 - Registered Options Principal Examination
BC
Issued 2/21/1995
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 1/2/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/30/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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