Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Laurence Dubuque is a financial advisor currently registered with Kestra Investment Services, LLC. Roger has been in the securities industry since 1996 and has a history of working at both large firms and smaller, independent broker-dealers. Roger is registered to provide investment advice in Connecticut, Maine, Massachusetts, New Hampshire, New Jersey, New York, and Rhode Island. Roger's experience and qualifications include the Series 6, SIE, and Series 63 securities exams.
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.
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.
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2
MA
06/16/2000 - Present
Kestra Investment Services, LLC (WORCESTER MA)
MA
10/17/1995 - 04/22/1997
BERKSHIRE EQUITY SALES, INC. (PITTSFIELD MA)
NJ
05/10/1993 - 08/10/1995
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BC
Issued 07/07/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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