Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Kraus is a financial advisor currently registered with UBS Financial Services Inc., where has been working since September 2016. Roger has been in the financial industry since August 4, 2005. His previous employers include J.P. MORGAN SECURITIES LLC, CREDIT SUISSE SECURITIES (USA) LLC, and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Roger holds the Series 66, SIE and Series 7 licenses.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
MA
10/07/2016 - Present
UBS Financial Services Inc. (Boston MA)
NY
05/07/2010 - 11/03/2015
J.P. MORGAN SECURITIES LLC (new york NY)
NY
01/12/2009 - 05/25/2010
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
09/24/2004 - 01/27/2009
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
08/31/2004 - 09/28/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 09/22/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/30/2004
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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