Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Saks is a financial advisor with over 27 years of experience in the financial services industry. Roger has been with Stifel, Nicolaus & Company, Inc. since December 2015. Prior to that, Roger worked for Barclays Capital Inc. and Lehman Brothers Inc., among other firms. Roger specializes in providing financial planning and portfolio management services to individuals, businesses, and institutions. Roger holds a Series 7, Series 63, Series 66, Series 3, Series 9, Series 10, Series 55 and Series 57TO securities licenses. Roger is also a registered investment advisor in Pennsylvania, New York, and Texas.
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.
1
2
NY
12/04/2015 - Present
Stifel, Nicolaus & Company, Inc. (NEW YORK NY)
NY
09/22/2008 - 12/04/2015
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
04/09/2001 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
05/09/1995 - 01/12/2001
GOLDMAN, SACHS & CO. (NEW YORK NY)
BOTH
Issued 02/07/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/05/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/13/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/23/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/08/1995
Series 3 - National Commodity Futures Examination
BC
Issued 05/03/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE American LLC
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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