Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Burton is a financial advisor with Wells Fargo Clearing Services, LLC. Roger has been in the financial industry since 1986. Roger is licensed to offer securities in Arizona, California, Florida, and Texas. Roger is also registered as an investment advisor in Arizona, California, Florida, and Texas. Roger has a Series 7, Series 10, Series 9, Series 63, and Series 65 license. Roger is affiliated with Wells Fargo Clearing Services, LLC and UBS FINANCIAL SERVICES INC.
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.
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.
Investment consulting services to institutional clients
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
AZ
01/31/2024 - Present
Wells Fargo Clearing Services, LLC (GILBERT AZ)
CA
10/02/1987 - 10/10/2018
UBS FINANCIAL SERVICES INC. (BREA CA)
NA
01/02/1987 - 10/09/1987
FIRST OF MICHIGAN CORPORATION
NA
05/21/1986 - 01/19/1987
THE STUART-JAMES COMPANY, INC.
IA
Issued 07/09/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/11/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/13/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/29/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1989
Series 3 - National Commodity Futures Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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