Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger T Shuster is a financial advisor with UBS Financial Services Inc. with over 39 years of experience in the industry. Roger has a strong track record of success in providing financial advice and investment management services to individuals, families, and businesses. Roger is registered with the Financial Industry Regulatory Authority (FINRA) and holds several licenses and certifications, including the Series 3, 7, and 63 exams. Roger is also a registered Investment Advisor Representative (IAR).
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
NC
12/02/2008 - Present
UBS Financial Services Inc. (CHARLOTTE NC)
NC
07/01/2003 - 12/03/2008
WACHOVIA SECURITIES, LLC (CHARLOTTE NC)
NY
03/29/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 03/31/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/04/1984 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 08/28/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/23/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/1984
Series 3 - National Commodity Futures Examination
BC
Issued 08/18/1984
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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