Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michelle? Claim Your ProfileMichelle Rodgers has over 20 years of experience in the financial services industry. Michelle has a Series 3, 7, 9, 10, 66 and SIE licenses and is currently registered with UBS Financial Services Inc.. Prior to that, Michelle was registered with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED for over 3 years. Michelle has a wide range of experience providing financial advice and investment management services to a variety of clients, including individuals, families, businesses, and institutions.
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
CA
11/29/2007 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
02/27/2004 - 11/23/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
BOTH
Issued 05/21/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/20/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/03/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/2009
Series 3 - National Commodity Futures Examination
BC
Issued 02/26/2004
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
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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