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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 Wacker is an investment advisor representative with UBS Financial Services Inc. in LOS ANGELES, California. Roger Wacker has been in the industry since 1999. Previously, Roger Wacker worked for CREDIT SUISSE SECURITIES (USA) LLC and UBS FINANCIAL SERVICES INC. Roger Wacker has passed the Series 7, Series 63 and Series 65 exams and holds registrations with the states of Alaska, Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Louisiana, Maryland, Massachusetts, Michigan, Montana, Nevada, New Jersey, New York, Ohio, Oregon, Pennsylvania, Rhode Island, Tennessee, Texas, and Washington. Roger Wacker has served on the board of directors for a number of organizations including the International Bankers Association of California, the Swiss-American Chamber of Commerce Los Angeles Chapter, the Providence St. John's Medical Center Foundation, the Mayo Clinic Global Advisory Council, the Cedars-Sinai Board of Governors and The John Wayne Cancer Institute.
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
CA
05/16/2017 - Present
UBS Financial Services Inc. (LOS ANGELES CA)
CA
05/14/2010 - 12/18/2015
CREDIT SUISSE SECURITIES (USA) LLC (LOS ANGELES CA)
CA
09/17/2008 - 05/20/2010
UBS FINANCIAL SERVICES INC. (LOS ANGELES CA)
NY
04/26/2005 - 11/11/2008
UBS INTERNATIONAL INC. (NEW YORK NY)
NY
07/26/1999 - 04/01/2005
JULIUS BAER SECURITIES INC. (NEW YORK NY)
IA
Issued 12/16/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/13/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/23/1999
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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