Robert Smith, financial advisor Palm Springs CA
68 score

Robert Smith

CRD Number: 1314372
Current Firm: Mml Investors Services, LLC

Robert Smith (CRD# 1314372) is an Investment Advisor Representative working at Mml Investors Services, LLC in Palm Springs, CA and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Massmutual Financial Group Rancho Mirage, CA May 2011 - Current 5
Mml Investors Services Rancho Mirage, CA May 2011 - Current 5
R.j. Smith Insurance & Financial Services Palm Desert, CA Nov 2006 - Current 10
Eagle Strategies LLC Rancho Mirage, CA Mar 2011 - May 2011 < 1
New York Life Insurance Company San Bernardino, CA Jun 1984 - May 2011 26
Nylife Securities Inc. San Bernardino, CA Jun 1984 - May 2011 26
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Mar 2011
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:
  • Employer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Robert J. Smith
Phone Number: (413)737-8400
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    666
    MILLIONS
  • Total Number of Accounts
    3,874
    ACCOUNTS
  • Average Account Value
    $171,955
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, 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, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
68

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