Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Lapointe is a financial advisor with over 30 years of experience in the industry. Roger is currently registered with UBS Financial Services Inc. and has a Series 7, Series 63 and SIE. Roger has been a registered representative since 1989 and previously worked with MORGAN STANLEY & CO. INCORPORATED and MORGAN STANLEY DW INC. Roger is licensed in multiple states, including Massachusetts, California, Florida, Georgia, Illinois, and more. He specializes in portfolio management for individuals and businesses. Roger has a broad experience in offering financial planning, pension consulting and educational seminars.
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
MA
12/05/2008 - Present
UBS Financial Services Inc. (BOSTON MA)
MA
04/02/2007 - 12/08/2008
MORGAN STANLEY & CO. INCORPORATED (BOSTON MA)
MA
11/02/1989 - 04/02/2007
MORGAN STANLEY DW INC. (BOSTON MA)
BC
Issued 11/27/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1989
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
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