Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Ernest Berry is a financial advisor who has been in the industry since January 1991. Roger is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Roger has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since January 2017. Roger's previous employers include UBS Financial Services Inc., Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., and A. G. Edwards & Sons, Inc. Roger is also registered with the state of Texas as an investment advisor representative and a broker-dealer.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
TX
01/06/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (AUSTIN TX)
TX
11/28/2008 - 01/17/2017
UBS FINANCIAL SERVICES INC. (AUSTIN TX)
TX
04/02/2007 - 12/02/2008
MORGAN STANLEY & CO. INCORPORATED (AUSTIN TX)
TX
03/27/2000 - 04/02/2007
MORGAN STANLEY DW INC. (AUSTIN TX)
MO
01/29/1991 - 03/30/2000
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
IA
Issued 03/22/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/11/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/26/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/19/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 01/28/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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