Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mary? Claim Your ProfileMary Rachael Rogers is a financial advisor registered with UBS Financial Services Inc. in Texas. She is licensed to provide both broker-dealer and investment advisory services. Mary has been working in the financial services industry since July 21, 1996. Mary has been with UBS Financial Services Inc. since May 2014 and has previously worked at firms including Oppenheimer & Co. Inc. and CIBC World Markets Corp. Mary is a licensed Securities Industry Essentials (SIE), Series 7, Series 63 and Series 65 representative.
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
11/01/2016 - Present
UBS Financial Services Inc. (HOUSTON TX)
NE
01/13/2014 - 02/10/2014
WOODLANDS SECURITIES CORPORATION (OMAHA NE)
TX
01/03/2003 - 01/06/2014
OPPENHEIMER & CO. INC. (HOUSTON TX)
NY
11/04/1996 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NA
07/19/1994 - 02/27/1995
MASTERSON MORELAND SAUER WHISMAN, INC.
NY
03/15/1994 - 07/06/1994
OPPENHEIMER & CO., INC. (NEW YORK NY)
IA
Issued 10/24/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/06/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/1994
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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