| Advisor Profile |
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| Name: |
Robert Galindo |
| Phone Number: |
(408) 916-1409 |
| Website: |
Visit Website
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| Disclaimer |
| *Registered representative offering securities and advisory services through Royal Alliance Associates, Inc., a registered broker-dealer. Member FINRA/SIPC and a Registered Investment Advisor. Advisory services offered through WHJR Associates, a registered investment advisor. |
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Business Description |
I provide specialization in the areas of investment management, retirement planning, estate planning, business planning and insurance planning.
Robert presently hold Series 7 (Registered Representative) and Series 66 (Investment Advisor Representative) registrations in the state of CA, AZ, & CO.
Robert offers advisory services and is an Investment Advisor Representative through WHJR & Associates, a registered investment advisor. |
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General Information |
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| Insurance License#: |
CA Insurance Lic.: 0D79749
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| Name of Broker/Dealer: |
Royal Alliance Associates Inc.
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| States Licensed in: |
CA,CO,AZ
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| Years of Experience in Financial Services: |
6
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| Number of Years with Current Firm: |
3
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| I work with the following types of clients: |
Businesses, Individual Investors
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Education |
| Academic Background |
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| BS Degree in Business Administration |
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Services |
| Investment Types: |
Exchange Traded Funds (ETFs), Alternative Investments, Mutual Funds, Insurance, Annuities, Stocks, Bonds
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Qualifications & Memberships |
| Securities Licenses: |
Series 7, Series 66
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| Insurance and Annuity Licenses: |
Variable Life, Long Term Care, Variable Annuity, Disability, Life, Annuity
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| Financial Organization Memberships: |
Financial Services Institute
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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Compliance |
| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| I am an acknowledged fiduciary: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$100000
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| Compensation Methods: |
Based on Assets, Commissions, Hourly
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| Prepared By: |
Robert Galindo |
| Most Recent Update: |
07/01/2008 |
Frequently Asked Questions |
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