Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roz? Claim Your ProfileRoz Werner is a financial advisor currently registered with B. Riley Wealth Management. Roz has been in the financial services industry since August 24, 2000. Prior to joining B. Riley Wealth Management, Roz was registered with National Securities Corporation and Prime Capital Services, Inc. Roz has a Series 6, Series 7 and SIE license and is registered in several states including California, Connecticut, Florida, New Hampshire, New Jersey, New York, and Washington.
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.
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.
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2
NY
10/05/2021 - Present
B. Riley Wealth Management (POUGHKEEPSIE NY)
NY
11/22/2013 - 07/22/2022
NATIONAL SECURITIES CORPORATION (POUGHKEEPSIE NY)
NY
08/25/2000 - 11/22/2013
PRIME CAPITAL SERVICES, INC. (POUGHKEEPSIE NY)
BC
Issued 10/25/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2005
Series 7 - General Securities Representative Examination
BC
Issued 08/23/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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