Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard d.? Claim Your ProfileRichard D. Rogers has been in the financial industry since 1985. Currently, Richard D. Rogers is registered as a broker and investment advisor representative with UBS Financial Services Inc. Richard D. Rogers is also registered with the following states: Alabama, Arizona, Arkansas, California, Colorado, Delaware, District of Columbia, Florida, Georgia, Illinois, Maryland, Massachusetts, Michigan, Minnesota, Missouri, New Hampshire, New Jersey, New York, North Carolina, North Dakota, Oregon, Pennsylvania, Rhode Island, South Carolina, Texas, Utah, and Virginia. Richard D. Rogers has previously worked at SMITH BARNEY SHEARSON INC., PAINEWEBBER INCORPORATED, LEHMAN BROTHERS INC., and DEAN WITTER REYNOLDS INC.
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
PA
06/23/2022 - Present
UBS Financial Services Inc. (NEWTOWN PA)
NY
07/31/1993 - 12/20/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NA
12/03/1993 - 12/07/1993
PAINEWEBBER INCORPORATED
NY
03/29/1989 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
10/22/1985 - 04/03/1989
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 12/21/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/12/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/1988
Series 3 - National Commodity Futures 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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