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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roderick? Claim Your ProfileRoderick John Wagner is a financial advisor with UBS Financial Services Inc. Roderick has been working in the financial industry since May 4, 1999. Previously, Roderick was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC of America Investment Services, INC., QUICK & REILLY, INC., and ROBERTSON STEPHENS, INC. Roderick is registered in 33 states and is a licensed investment advisor in 7 states. Roderick specializes in working with high-net-worth individuals, corporations or other businesses, charitable organizations, and pension and profit-sharing plans.
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
MA
06/09/2022 - Present
UBS Financial Services Inc. (BOSTON MA)
MA
10/23/2009 - 12/03/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BOSTON MA)
MA
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
08/07/2002 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
CA
05/05/1999 - 08/30/2002
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
BOTH
Issued 08/18/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/13/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/04/1999
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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