Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bertha? Claim Your ProfileBertha Rozier is a registered investment advisor representative with Osaic Institutions, Inc. Bertha has over 23 years of experience in the financial services industry. Bertha has been with Osaic Institutions, Inc. since December 2022 and prior to that, Bertha was with HSBC Securities (USA) Inc. for 17 years. Bertha's areas of specialization include retirement planning, education planning, and estate planning. Bertha also provides financial planning services to individuals and families. Bertha holds the Series 7, 9, 10, 24, 63, and 66 securities licenses. Bertha is also a registered investment advisor representative in Florida and New York.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Solicitation services for other advisers
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NY
12/06/2022 - Present
Osaic Institutions, Inc. (New York NY)
NY
01/01/2005 - 05/05/2022
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
07/27/2000 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NY
06/24/1999 - 07/12/2000
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
BOTH
Issued 02/03/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/10/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/27/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/25/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/30/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/23/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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