Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you H? Claim Your ProfileTodd Roggen is a financial advisor with over 40 years of experience in the financial services industry. Todd currently works at Oneseven. Prior to joining Oneseven, Todd worked at UBS Financial Services Inc., First Union Securities, Inc., Prudential Securities Incorporated, Cowen Securities Inc., Cowen & Co., and Rotan Mosle Inc. Todd is registered to provide investment advice in 20 states. Todd provides investment advice to individuals, high-net-worth individuals, corporations, charitable organizations, and corporate trusts.
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.
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.
Solicitors' fees for referrals to other money managers
1
2
OH
11/04/2024 - Present
Oneseven (BEACHWOOD OH)
NJ
01/19/2001 - 06/16/2010
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
MO
07/14/1992 - 01/31/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NY
12/10/1986 - 07/07/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
02/10/1984 - 12/02/1986
COWEN SECURITIES INC.
NA
01/19/1983 - 02/09/1984
COWEN & CO.
NA
12/22/1980 - 02/02/1983
ROTAN MOSLE INC.
IA
Issued 09/20/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/13/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/11/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/11/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/22/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 12/20/1980
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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