Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Paton is a financial advisor at UBS Financial Services Inc. Roger has been in the financial services industry since 2004. Roger is registered in 22 states, including New Jersey, North Carolina and Texas. Roger has earned the Series 7, Series 66 and SIE licenses. In addition to his role at UBS Financial Services Inc., Roger has previously held a position at Merrill Lynch, Pierce, Fenner & Smith Incorporated. Roger is a member of the Financial Industry Regulatory Authority (FINRA). The firm, UBS Financial Services Inc. is a large firm with over $50 billion in assets under management.
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
NJ
11/03/2017 - Present
UBS Financial Services Inc. (RED BANK NJ)
NJ
08/24/2004 - 11/06/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MONTVALE NJ)
BOTH
Issued 10/12/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/2004
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
Not sure Roger Paton is the right advisor for you? Invested Better is here to help.
