Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Eugene Winters is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Roger has been in the financial services industry for over 20 years. Prior to joining Merrill Lynch, Roger was a financial advisor with TD Ameritrade, Inc., SunTrust Investment Services, Inc. and BB&T Investment Services, Inc.. Roger holds the Series 7, Series 24, Series 63 and Series 65 licenses. Roger's specialties include retirement planning, college savings, and estate planning. Roger's current employment is with Merrill Lynch, Pierce, Fenner & Smith Incorporated and is based out of their New York, NY office. Roger is also registered with the state of Virginia.
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
NY
10/22/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
VA
12/19/2018 - 04/28/2020
TD AMERITRADE, INC. (ROANOKE VA)
VA
02/09/2016 - 10/10/2018
SUNTRUST INVESTMENT SERVICES, INC. (ROANOKE VA)
WV
01/28/2009 - 01/08/2016
BB&T INVESTMENT SERVICES, INC. (CHARLESTON WV)
WV
05/12/2004 - 12/31/2008
BB&T INVESTMENT SERVICES, INC. (CHARLESTON WV)
NA
11/18/1987 - 09/12/1988
DEAN WITTER REYNOLDS INC.
NA
12/17/1985 - 11/27/1987
E. F. HUTTON & COMPANY INC
BC
Issued 12/21/2004
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 8/29/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/27/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/11/2004
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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