Oscar Robles, financial advisor Napa CA
81 score

Oscar Robles

CRD Number: 5460977
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oscar Robles (CRD# 5460977) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Napa, CA and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Napa, CA May 2016 - Current < 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Napa, CA Nov 2015 - Current 1
Metlife Securities Inc. Santa Rosa, CA Nov 2007 - Nov 2015 8
Primestar Financial Services San Jose, CA Apr 2007 - Nov 2007 < 1
American Funding & Financial Corp San Jose, CA Jan 2004 - Apr 2007 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2008
S65 NASAA Investment Advisors Law Examination Feb 2010
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Oscar S. Robles
Phone Number: 800-637-7455
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
81

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