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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 Richard Rowe is an Investment Advisor Representative at The Colony Group, LLC. Roger has been in the financial services industry for over 20 years. Roger has experience in providing investment advice to individuals, families, and businesses. Roger holds Series 7, 9, 10, 24, 63 and 65 licenses. Roger is also a Certified Financial Planner. Roger has been registered with the state of California and Idaho as an Investment Advisor Representative. Roger's previous employment includes UBS Financial Services Inc., Foreside Financial Services, LLC, Loring Ward Securities Inc., Barclays Capital Inc., Goldman, Sachs & Co., Preferred Capital Markets, Inc., American Express Financial Advisors Inc., and IDS Life Insurance Company.
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.
Tax prep. srvcs, dispute resolution srvcs, family office srvcs, bus. mgmt. srvcs, ins. solutions, credit & cash mgmt solutions..
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Rev. sharing w/ frs and on eligible credit & cash mgmt solutions
1
2
MA
07/02/2024 - Present
THE Colony Group, LLC (BOSTON MA)
CA
10/29/2018 - 09/03/2020
FORESIDE FINANCIAL SERVICES, LLC (San Jose CA)
CA
01/04/2017 - 10/29/2018
LORING WARD SECURITIES INC. (SAN JOSE CA)
FL
12/11/2012 - 12/27/2016
UBS FINANCIAL SERVICES INC. (CORAL GABLES FL)
FL
07/19/2011 - 09/13/2012
BARCLAYS CAPITAL INC. (MIAMI FL)
CA
02/25/2008 - 05/12/2011
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
NY
06/05/2006 - 02/19/2008
GOLDMAN, SACHS & CO. (NEW YORK NY)
NJ
07/17/2000 - 06/22/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
CA
03/24/1999 - 07/28/2000
PREFERRED CAPITAL MARKETS, INC. (SAN FRANCISCO CA)
MN
01/22/1998 - 08/20/1998
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
01/22/1998 - 08/20/1998
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 08/25/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/06/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/26/2024
Series 24 - General Securities Principal Examination
BC
Issued 05/02/2000
Series 4 - Registered Options Principal Examination
BC
Issued 01/26/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/03/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/26/2024
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/2003
Series 3 - National Commodity Futures Examination
BC
Issued 10/04/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/20/1998
Series 7 - General Securities Representative Examination
Active
Inactive
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