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Siobhan Traynor Rogers

Nuveen Securities, LLC

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About Siobhan Traynor Rogers

Siobhan Traynor Rogers is a financial advisor at Nuveen Securities, LLC. Siobhan has been in the financial industry for over 20 years, and has worked with a number of firms, including TEACHERS PERSONAL INVESTORS SERVICES, INC., COHEN & STEERS SECURITIES, LLC, and PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC. Siobhan has a broad range of experience in the financial services industry and is registered to provide financial advice in all 50 states and the District of Columbia.

Firm Information

Siobhan Rogers is currently registered with Nuveen Securities, LLC. Nuveen Securities, LLC is a Limited Liability Company formed in September 1967. The firm is registered in 53 states and has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

66

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Siobhan Rogers’s Registration & Firm History

NY

01/03/2017 - Present

Nuveen Securities, LLC (New York NY)

NY

09/27/2016 - 12/31/2016

TEACHERS PERSONAL INVESTORS SERVICES, INC. (NEW YORK NY)

NY

06/04/2012 - 09/09/2016

COHEN & STEERS SECURITIES, LLC (NEW YORK NY)

NJ

11/11/2011 - 04/23/2012

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)

NJ

12/06/2002 - 11/25/2009

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)

NY

03/14/1995 - 05/24/1996

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/13/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/09/2016

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/19/2014

Series 3 - National Commodity Futures Examination

BC

Issued 03/13/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Siobhan Traynor Rogers.
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