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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Howard? Claim Your ProfileHoward Rogers Jr. has over 38 years of experience in the financial services industry. He is currently a registered representative with UBS Financial Services Inc. and has been with the firm since May 1994. Prior to that, he was a registered representative with Lehman Brothers Inc. and Dean Witter Reynolds Inc. Howard is licensed to provide financial services in several states, including Texas, Oklahoma, and New Hampshire. He has also passed several industry exams, including the Series 7, Series 10, Series 9, Series 31, Series 63, and Series 65. Howard's focus is on providing a wide range of financial products and services, including portfolio management, financial planning, and pension consulting.
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
TX
05/26/1994 - Present
UBS Financial Services Inc. (SUGAR LAND TX)
NY
03/17/1987 - 05/20/1994
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/23/1985 - 04/02/1987
DEAN WITTER REYNOLDS INC.
IA
Issued 08/09/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/23/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/07/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/07/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 10/19/1985
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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