RR
RR
Robert Regent
34 Years of Experience
Weston, FL
2 DisclosuresBroker
Robert Regent is a registered investment advisor at Raymond James & Associates, INC., based in Weston, FL, with 34 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
Loading...
Location
2893 Executive Park Drive, Suite 305, Weston, FL, 33331
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2009Denied
Customer Dispute
August 1999Denied
Employment History
Current Registrations
Raymond James & Associates, INC.
April 2018 - Present · 8 yrs 1 mo
Raymond James & Associates, INC.Broker
April 2018 - Present · 8 yrs 1 mo
Previous Registrations
Ameriprise Financial Services, INC.
September 2010 - April 2018 · 7 yrs 7 mos
Ameriprise Financial Services, INC.Broker
October 2009 - April 2018 · 8 yrs 6 mos
Ameriprise Advisor Services, INC.Broker
April 2008 - October 2009 · 1 yr 6 mos
Citigroup Global Markets INC.
July 1993 - April 2008 · 14 yrs 9 mos
Citigroup Global Markets INC.Broker
July 1993 - April 2008 · 14 yrs 9 mos
Lehman Brothers INC.Broker
July 1992 - July 1993 · 1 yr
A. F. Best Securities, INC.Broker
February 1992 - July 1992 · 5 mos
State Registrations9 states
FLIDMANCNJNYORSCWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.