Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Stern is a financial advisor with over 40 years of experience in the financial services industry. He is a registered representative with Morgan Stanley and has held previous positions at Wells Fargo Clearing Services, LLC, Prudential Securities Incorporated, PaineWebber Incorporated, CS First Boston Corporation, Cowen & Co., Becker Paribas Incorporated, Becker Securities Incorporated, and A. G. Becker & Co., Incorporated. Roger is a Series 7TO, Series 63, Series 65, Series 24, Series 3 and Series 40 licensed professional. He is also a licensed advisor in 22 states, and provides investment advice and financial planning services to individuals, corporations, and other entities.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
06/16/2021 - Present
Morgan Stanley (Jericho NY)
NY
07/01/2003 - 08/11/2020
WELLS FARGO CLEARING SERVICES, LLC (MELVILLE NY)
NY
10/15/1991 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
07/26/1988 - 10/16/1991
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
06/30/1986 - 07/09/1988
CS FIRST BOSTON CORPORATION
NA
09/21/1984 - 07/08/1986
COWEN & CO.
NA
07/13/1978 - 10/11/1984
BECKER PARIBAS INCORPORATED
NA
12/24/1974 - 07/13/1978
BECKER SECURITIES INCORPORATED
NA
01/09/1973 - 11/25/1975
A. G. BECKER & CO., INCORPORATED
IA
Issued 04/26/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/27/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 11/27/1978
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/05/1989
Series 3 - National Commodity Futures Examination
BC
Issued 09/02/1977
PC - AMEX Put and Call Exam
BC
Issued 01/14/1973
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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