Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Feldman is a financial advisor with over 27 years of experience in the industry. Roger has been a registered representative since 1995 and currently works at UBS Financial Services Inc. in Baltimore, Maryland. He holds the Series 63, 65, 66, 7 and SIE licenses, and has earned a reputation as a trusted advisor to individuals, families, and businesses. Roger provides a variety of financial services, including portfolio management, financial planning, and retirement planning.
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
MD
10/10/2022 - Present
UBS Financial Services Inc. (BALTIMORE MD)
MD
08/15/2017 - 10/12/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BALTIMORE MD)
CT
07/25/2012 - 08/15/2017
NEWCASTLE DISTRIBUTORS LLC (AVON CT)
NJ
09/10/2002 - 04/12/2004
NYLIFE DISTRIBUTORS LLC (JERSEY CITY NJ)
NY
12/20/2000 - 02/07/2002
ARK SECURITIES CO., INC. (NEW YORK NY)
NY
04/17/1995 - 04/07/1999
LYNCH, JONES & RYAN, INC. (NEW YORK NY)
PR
01/14/1992 - 09/07/1993
CLARK MELVIN SECURITIES CORPORATION (HATO REY PR)
MD
07/17/1991 - 11/25/1991
THE CHAPMAN CO. (COLUMBIA MD)
NA
07/14/1982 - 12/08/1990
ALEX. BROWN & SONS INCORPORATED
NA
05/24/1982 - 06/17/1982
OPPENHEIMER & CO., INC.
BOTH
Issued 09/20/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/16/2012
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 10/05/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/2012
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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