Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jean? Claim Your ProfileJean Roccon-rohm has been a registered representative for over 40 years and is currently affiliated with UBS Financial Services Inc., with branch offices in NEW LONDON, CT and Sewickley, PA. Jean Roccon-rohm is a registered investment advisor, holding licenses in 27 states. In addition to holding a Series 7, Series 63, and Series 65 license, Jean Roccon-rohm also passed the SIE and Series 3 exams. Jean Roccon-rohm has experience in various investment areas 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
CT
09/23/2002 - Present
UBS Financial Services Inc. (NEW LONDON CT)
NA
12/21/1982 - 12/13/1985
E. F. HUTTON & COMPANY INC
IA
Issued 11/04/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/07/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/1983
Series 3 - National Commodity Futures Examination
BC
Issued 12/18/1982
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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