Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Kwan is a financial professional with over 20 years of experience in the industry. Roger is currently registered with RBC Capital Markets, LLC, a leading investment firm, and has previously held positions at RBC CAPITAL MARKETS CORPORATION and BARCLAYS CAPITAL INC. Roger holds licenses in both Series 7 and Series 66, indicating a strong foundation in the securities industry. Roger is a highly experienced professional, having served a wide range of clients including individuals, corporations, and institutional investors. Roger's expertise is complemented by his deep understanding of various financial products and services.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
NY
02/29/2008 - Present
RBC Capital Markets, LLC (NEW YORK NY)
NY
02/11/2004 - 02/29/2008
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
07/26/2002 - 01/26/2004
BARCLAYS CAPITAL INC. (NEW YORK NY)
BOTH
Issued 03/24/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/2003
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/25/2002
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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