Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Deborah? Claim Your ProfileDeborah Rotz is a financial advisor with over 20 years of experience in the industry. Deborah is currently registered with Robert W. Baird & Co. Inc. as a Registered Representative and Investment Advisor Representative. Previously, Deborah has also worked with UBS Financial Services Inc. and Citigroup Global Markets Inc. Deborah holds the Series 3, 7, 10, and 66 licenses, demonstrating a commitment to professional development and a wide range of financial expertise. Deborah's previous experience and current credentials make her well-equipped to provide comprehensive financial guidance and investment solutions.
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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
OH
07/09/2018 - Present
Robert W. Baird & Co. Inc. (CLEVELAND OH)
OH
08/10/2006 - 07/10/2018
UBS FINANCIAL SERVICES INC. (WESTLAKE OH)
OH
05/20/1998 - 08/16/2006
CITIGROUP GLOBAL MARKETS INC. (CLEVELAND OH)
BOTH
Issued 02/09/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/07/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/11/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/22/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/02/2004
Series 3 - National Commodity Futures Examination
BC
Issued 05/18/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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