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 a financial advisor with UBS Financial Services Inc., where he has been employed since 2014. Rogelio has been a registered representative with the Financial Industry Regulatory Authority (FINRA) since 2001 and has a Series 7, Series 63, Series 9, Series 10, and SIE licenses. Rogelio also holds a Series 65 license, which allows him to act as an investment advisor representative in the state of Florida. Rogelio provides a variety of financial services to individuals, 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
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 08/08/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/09/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/27/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/2001
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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