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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 Gray is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Roger has been in the financial services industry for over 30 years. Roger is registered with the state of Massachusetts as a Broker and an Investment Advisor Representative. Roger is currently licensed in 53 states and has a Series 6, 7, 10, 24, 26, 51, 63 and 66. Roger has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since April 2012. Prior to that Roger worked for DWS INVESTMENTS DISTRIBUTORS, INC. and Scudder Investor Services, Inc. Roger works with individuals, businesses, corporations, high-net-worth clients, charitable organizations, pension and profit-sharing plans, and insurance companies. Roger also provides financial planning services.
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
MA
03/26/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOSTON MA)
MA
10/19/2001 - 04/19/2012
DWS INVESTMENTS DISTRIBUTORS, INC (BOSTON MA)
NY
06/06/1990 - 10/19/2001
SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)
BOTH
Issued 03/25/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/03/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/16/2013
Series 24 - General Securities Principal Examination
BC
Issued 05/16/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 04/12/2001
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/2008
Series 7 - General Securities Representative Examination
BC
Issued 06/05/1990
Series 6 - Investment Company Products/Variable Contracts 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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