Roger ShusterCRD Number: 1289758
Current Firm: Ubs Financial Services Inc.
Roger Shuster (CRD# 1289758) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Charlotte, NC and has over 33 years of experience in the finance industry.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|Ubs Financial Services Inc.||Charlotte, NC||Nov 2008 - Current||9|
|Wachovia Securities LLC||Charlotte, NC||Jul 2003 - Nov 2008||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1984|
|S65||NASAA Investment Advisors Law Examination||Aug 1991|
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV