Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Faulring is a financial advisor with B. Riley Wealth Advisors, Inc. based in Buffalo, New York. Roger has over 30 years of experience in the financial services industry. Roger specializes in working with individuals, corporations, and other businesses. Roger has passed the Series 3, 5, 7, 8, 63, 65, and 66 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.
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.
A percentage of the total value of assets under management is charged.
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2
NY
09/14/2020 - Present
B. Riley Wealth Advisors, Inc. (Buffalo NY)
NY
03/16/2006 - 07/22/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BUFFALO NY)
NY
08/21/1987 - 03/08/2006
ADVEST, INC. (BUFFALO NY)
NA
09/24/1984 - 10/05/1987
SHEARSON LEHMAN BROTHERS INC.
NA
04/13/1981 - 10/04/1984
E. F. HUTTON & COMPANY INC
BOTH
Issued 11/16/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/02/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/20/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/06/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 04/17/2006
Series 3 - National Commodity Futures Examination
BC
Issued 10/16/1981
Series 5 - Interest Rate Options Examination
BC
Issued 04/11/1981
Series 7 - General Securities Representative Examination
Active
Inactive
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