Roger F. Vierra, financial advisor Rockland MA
63 score

Roger F. Vierra

CRD Number: 1400401
Current Firm: Ubs Financial Services Inc.

Roger F. Vierra (CRD# 1400401) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Rockland, MA and has over 31 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Braintree, MA Dec 2007 - Current 9
Bear, Stearns & Company Inc. Boston, MA Jan 1991 - Dec 2007 16
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1985
S65 NASAA Investment Advisors Law Examination Apr 1999
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Roger F. F. Vierra
Phone Number: 201-352-3000
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • 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
Types of Clients
Registered States

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

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BADGES
63

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