Lawrence Harrison Rogers

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2013 → Present
  Ubs Financial Services Inc
  Cincinnati, OH

Previous Registrations

• 1999-10-18 → 2007-02-09
  Keybanc Capital Markets Inc.
  Cincinnati, OH
  Cincinnati, OH

Other Businesses

1. S. L. R Trust FBO L H R. III, Inheritance from deceased parents held in trust for next generations, including the trustee, Cincinnati OH United States-45243, Supervise investment allocations, file tax returns, authorize distributions, start date-1/13/1986. 2. LHR III Childrens Trusts, Lifetime gifts to grantor's grandchildren, CincinnatiOH United States45243, Supervise investment allocations, file tax returns, authorize distributions, start date-1/13/1986. 3. C. J.M. Irrev Trust, Life Insurance Trust for deceased father in law, CincinnatiOH United States45243, Trust has been fully distributed and has no assets, Final tax returns and distributions have been completed, start date-12/22/1989.

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-12-16
• S63 Uniform Securities Agent State Law Examination
  1984-01-17

Other Names

• Tripp Rogers