Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rogelio? Claim Your ProfileRogelio Eduardo Fernandez is an active investment advisor representative with UBS Financial Services Inc. located in Coral Gables, FL. Rogelio has been in the industry since June 5, 2005. Prior to joining UBS Financial Services Inc., Rogelio was employed at BNP Paribas Investment Services, LLC, J.P. Morgan Securities Inc., LaSalle Financial Services, Inc., EFG Capital International, EFG Capital International LLC, UBS International Inc., 1st Bridgehouse Securities, LLC, and Guzman & Company. Rogelio holds Series 63, 65, 7, 9, 10, and SIE licenses. Rogelio also has experience in Wholesale & Merchandising.
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
FL
03/12/2015 - Present
UBS Financial Services Inc. (Coral Gables FL)
FL
01/29/2010 - 04/14/2014
BNP PARIBAS INVESTMENT SERVICES, LLC (MIAMI FL)
FL
07/29/2008 - 09/19/2008
J.P. MORGAN SECURITIES INC. (MIAMI FL)
FL
03/16/2006 - 06/11/2007
LASALLE FINANCIAL SERVICES, INC. (MIAMI FL)
FL
09/22/2005 - 03/29/2006
EFG CAPITAL INTERNATIONAL (MIAMI FL)
FL
09/27/2004 - 12/20/2005
EFG CAPITAL INTERNATIONAL LLC (MIAMI FL)
NY
11/13/2003 - 08/24/2004
UBS INTERNATIONAL INC. (NEW YORK NY)
FL
07/31/2003 - 01/27/2004
1ST BRIDGEHOUSE SECURITIES, LLC (MIAMI FL)
FL
05/03/2001 - 02/01/2002
GUZMAN & COMPANY (CORAL GABLES FL)
IA
Issued 11/24/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/8/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/9/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 8/27/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/2/2001
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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