Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Herbert? Claim Your ProfileHerbert Rottenberg is a registered investment advisor with UBS Financial Services Inc. Herbert has been in the financial services industry for over 39 years. Herbert is licensed to provide investment advice in 32 states and is also a registered investment advisor in New Jersey, New York, and Texas. Herbert is a Series 7, 63, and 65 licensed professional. Herbert has a broad range of experience and is able to provide investment advice to a variety of clients. Herbert has held previous positions at CITIGROUP GLOBAL MARKETS INC and Lehman Brothers Inc. UBS Financial Services Inc. is a leading global financial services firm with over 700 billion in assets under management. UBS provides investment advisory services, financial planning, portfolio management, and other services to individuals and businesses.
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
NJ
04/23/2013 - Present
UBS Financial Services Inc. (FLORHAM PARK NJ)
NJ
07/31/1993 - 01/29/2008
CITIGROUP GLOBAL MARKETS INC. (ROSELAND NJ)
NY
05/22/1984 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 04/07/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/06/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1984
Series 7 - General Securities Representative Examination
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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