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David John Rogina

UBS Financial Services Inc.

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About David John Rogina

David Rogina has been in the securities industry since 1982. David currently works for UBS Financial Services Inc. David is registered with both FINRA and the state of California and Texas. David specializes in a range of services including, securities, mutual funds, variable annuities, fixed insurance, and retirement plans. David is also a member of the Board of Directors for the Merced Golf and Country Club.

Firm Information

David Rogina is currently registered with UBS Financial Services Inc.. UBS Financial Services Inc. is a corporation formed on June 30, 1969, headquartered in Weehawken, NJ. With over $50 billion in assets under management, the firm provides a range of advisory services, including financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisors, and portfolio management for businesses and individuals. The firm has over 6,000 licensed agents, 9,000 investment advisor representatives, and 11,000 registered representatives, serving a diverse clientele including high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. UBS Financial Services Inc. is registered with the SEC and in all 50 states and Puerto Rico.
UBS Financial Services Inc.

1200 HARBOR BOULEVARD

WEEHAWKEN, NJ 07086

$702.39B

Assets Under Management

21,125

Total Clients

10,299

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

See schedule d - miscellaneous

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David Rogina’s Registration & Firm History

CA

05/12/2008 - Present

UBS Financial Services Inc. (MERCED CA)

NY

04/11/1988 - 01/16/1991

LEHMAN BROTHERS INC. (NEW YORK NY)

NA

07/22/1982 - 04/11/1988

E. F. HUTTON & COMPANY INC

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Licenses & Designations

BC

Issued 10/04/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/17/1982

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are 2 public disclosures for David John Rogina. Review regulatory record here.
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