Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Broom is a financial advisor registered with Vanguard Marketing Corp. in Charlotte, NC. He has over 20 years of experience in the financial industry. Roger holds FINRA Series 6, 7, and 63 securities licenses as well as the SIE exam. He is also registered with the states of North Carolina and South Carolina.
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.
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.
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NC
08/19/2002 - Present
Vanguard Marketing Corp. (CHARLOTTE NC)
BC
Issued 10/03/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/02/2012
Series 7 - General Securities Representative Examination
BC
Issued 08/16/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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