Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Nelson Cregg is a financial advisor at Morgan Stanley. Roger has been in the financial services industry since 1993, providing financial advice to individuals and families. Roger holds the Series 6, 7, 22, 31, and 63 licenses as well as the Series 65 and 66 licenses. Roger provides financial planning, portfolio management, investment advisory, and other investment related services to clients.
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
CA
02/12/2014 - Present
Morgan Stanley (Laguna Niguel CA)
CA
02/11/2008 - 03/15/2010
FIRST BROKERAGE AMERICA, L.L.C. (NEWPORT BEACH CA)
NY
07/11/2000 - 11/06/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
07/24/1996 - 03/16/2000
UBOC INVESTMENT SERVICES, INC. (GLENDALE CA)
NY
10/08/1993 - 08/02/1994
NEW ENGLAND SECURITIES (NEW YORK NY)
BOTH
Issued 05/05/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/20/2008
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 07/24/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/04/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 02/08/2008
Series 7 - General Securities Representative Examination
BC
Issued 05/20/1994
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 10/07/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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