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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Darryl? Claim Your ProfileDarryl Rodgers is an Investment Advisor Representative with UBS Financial Services Inc. Darryl has been in the industry since October 23, 2005, and has held licenses with several firms including Sanford C. Bernstein & Co., LLC, CAVU Securities LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Darryl is registered in 53 states and has a wide range of licenses and certifications. Darryl offers a variety of advisory services including financial planning, portfolio management, pension consulting, and educational seminars.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
IL
09/05/2023 - Present
UBS Financial Services Inc. (CHICAGO IL)
IL
12/04/2014 - 04/14/2021
SANFORD C. BERNSTEIN & CO., LLC (CHICAGO IL)
NY
05/03/2012 - 10/08/2014
CAVU SECURITIES LLC (NEW YORK NY)
NY
04/21/2003 - 06/30/2006
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
10/27/1999 - 04/28/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 01/15/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/23/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/17/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/16/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/2014
Series 31 - Futures Managed Funds Examination
BC
Issued 05/02/2012
Series 7 - General Securities Representative Examination
BC
Issued 04/13/2006
Series 3 - National Commodity Futures Examination
BC
Issued 12/07/1999
Series 55 - Limited Representative-Equity Trader Exam
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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