Robert Held, financial advisor San Ramon CA
51 score

Robert Held

CRD Number: 1017651
Current Firm: Prosperity Wealth Management, Inc.

Robert Held (CRD# 1017651) is an Investment Advisor Representative working at Prosperity Wealth Management, Inc. in San Ramon, CA and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Prosperity Wealth Management, Inc. San Ramon, CA Feb 2015 - Current 1
Gwynedd Wealth Partners, LLC Lower Gwynedd, PA Nov 2012 - Current 4
Penn Mutual Life Ins Co Horsham, PA Feb 2011 - Current 5
Keystone Capital Corporation San Diego, CA Aug 2013 - Feb 2015 1
Hornor Townsend & Kent Inc. Horsham, PA Oct 2010 - Dec 2012 2
Lpl Financial Lower Gwynedd, PA Feb 2008 - Sep 2010 2
Penn Mutual Life Insurance Company Plymouth Meeting, PA May 2003 - Oct 2008 5
Metropolitan Life Insurance Company Plymouth Meeting, PA Apr 2001 - Oct 2008 7
Metlife Securities, Inc. Plymouth Meeting, PA Apr 2001 - Oct 2008 7
Hornor Townsend & Kent Plymouth Meeting, PA Jan 2003 - Jan 2008 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1984
S65 NASAA Investment Advisors Law Examination May 2000
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:
  • Customer Dispute
  • Regulatory Event
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Robert F. Held
Phone Number: 925-791-4444
Firm Website: http://www.thinkpwm.com
Registered State(s):
  • PA
By the Numbers
  • Total Assets Under Management
    30
    MILLIONS
  • Total Number of Accounts
    100
    ACCOUNTS
  • Average Account Value
    $300,000
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
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
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

CA, FL, GA, IL, IN, MI, MN, MO, NC, NY, OH, PA, TX, VA

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BADGES
51

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