Roger Wacker

Current Employers

Employment History

• 11/2015 → Present
  Ubs Financial Services Inc
  Los Angeles, CA

Previous Registrations

• 2010-05-17 → 2015-12-18
  Credit Suisse Securities (Usa) Llc
  Los Angeles, CA
  Los Angeles, CA
• 2009-04-01 → 2010-05-20
  Ubs Financial Services Inc.
  Los Angeles, CA
  Weehawken, NJ
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA

Other Businesses

1) International Bankers Association of California (IBAC) c/o 5031 North Treanor Covina, CA 91724 / 550 South Hope Street, Ste. 2150 Los Angeles,California 90071 / Association (i.e., Trade or Industry, Sport...)/ Financial (Consumer & Investment Services) / Member of the Board of Directors. Serve on the Executive Committee / Member of Board of Directors / / Director on the Board but not an officer. / Start Date 5/27/09 / 1 meeting per month 2) Swiss-American Chamber of Commerce Los Angeles Chapter / c/o 1430 S. Grand Avenue #256 Glendora,California 91740 / Association (i.e., Trade or Industry, Sport...)/ Charities, Cultural, Educational & Political Organisations / ChairmanThis position has been previously approved by UBS AG, PB / Other / Chairman Emeritus / Advisor to Board of Directors / Start Date 3/25/09 / Minimal 3)Providence St. John's Medical Center Foundation / 2121 Santa Monica Blvd. Santa Monica,CA 90404 / Foundation/ Health Care & Pharmaceuticals / Fundraising for hospital / Trustee / / Member of Executive Committee / Start Date 2/17/16-2/17/2021 / 1 hour quarterly 4)Mayo Clinic Global Advisory Council / 200 First Street SW Rochester,MN 55905 / Association (i.e., Trade or Industry, Sport...)/ Health Care & Pharmaceuticals / International Ambassador / Other / Member of the Global Advisory Council / Advising on Fundraising activities / Start Date 6/15/15 / 2-3 meetings per year 5) Coast Guard Foundation Inc., Non-profit foundation supporting the Coast Guard members and families, Annual meetings plus 2 Board of Directors meetings to raise awareness and resources fr the Coast Guard Foundation, start date-11/17/2020, Stonington CT United States-06378'. 5)Cedars-Sinai Board of Governors / 8700 Beverly Boulevard, #2416 Beverly Hills,California 90048 / Other/ Health Care & Pharmaceuticals / Community Relations and Development / Other / Memberr of Board of Governors / Serve on Board / Start Date Board of Governors 1/11/16-1/10/20/ One hour per month 6)The John Wayne Cancer Institute / 2021 Santa Monica Boulevard Santa Monica,CA 90404 / Other/ Health Care & Pharmaceuticals / Scientific and research institution focused on cancer research / Member of Board of Directors / / Monthly Board meetings / Start Date Non-profit corporation 7/20/16-7/4/18 / 2 hours per month

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-12-16
• S63 Uniform Securities Agent State Law Examination
  2004-09-13