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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Nusbaum is an investment advisor representative with Dynamic Wealth Advisors. Roger has been in the industry since 1989. Roger has experience with Morgan Stanley DW Inc., Charles Schwab & Co., Inc., Vanguard Marketing Corporation, Prudential Securities Incorporated and Lehman Brothers Inc. Roger also has experience with YOUR SOURCE FINANCIAL, P.L.C. Dynamic Wealth Advisors is a registered investment advisor with the SEC and has offices in Phoenix and Prescott, Arizona. Roger is a Series 63, 65, 66, 7, 8, 31 and 55 licensed investment advisor representative with over 30 years of experience.
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.
Personalized portfolio management to meet individual financial objectives.
Model portfolio adviser services for third party program
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.
Asset-based and flat fees for model portfolio adviser services
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2
AZ
03/24/2023 - Present
Dynamic Wealth Advisors (PHOENIX AZ)
NY
10/28/2002 - 09/05/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
TX
07/16/1998 - 12/03/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
PA
04/10/1998 - 06/30/1998
VANGUARD MARKETING CORPORATION (MALVERN PA)
TX
01/23/1993 - 02/18/1998
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
09/22/1992 - 11/24/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
11/21/1989 - 03/30/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 09/25/2004
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/14/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/13/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/22/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 11/14/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 03/14/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/18/1989
Series 7 - General Securities Representative Examination
Active
Inactive
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