Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Robert Mussa is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Roger has been in the financial services industry since August 1999 and holds the following licenses: Series 7, Series 9, Series 10, Series 31, Series 63, and Series 65. Roger also has a background in the education sector, serving as a member of the advisory boards for both Assumption Regional Catholic School and the Atlantic City Community College Foundation. Roger specializes in helping high-net-worth individuals, corporations, and institutional investors manage their wealth.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NJ
09/23/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (EGG HARBOR TOWNSHIP NJ)
NJ
02/26/2010 - 10/04/2016
UBS FINANCIAL SERVICES INC. (NORTHFIELD NJ)
NJ
06/01/2009 - 03/02/2010
MORGAN STANLEY SMITH BARNEY (NORTHFIELD NJ)
NJ
06/09/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NORTHFIELD NJ)
NJ
07/01/2003 - 06/03/2008
WACHOVIA SECURITIES, LLC (PARAMUS NJ)
NY
08/18/1999 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 10/09/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/31/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/18/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/24/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 08/17/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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