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Diana Rogers

35 Years of Experience
Boston, MA
Broker

Diana Rogers is a registered investment advisor at UBS Financial Services INC., based in Boston, MA, with 35 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

One Post Office Square, 35th Floor, Boston, MA, 02109

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Diana is a notary public in Charlestown, MA, notarizing documents. This activity requires minimal time.

Employment History
Current Registrations
UBS Financial Services INC.Broker
March 2025 - Present · 1 yr 2 mos
UBS Financial Services INC.
March 2025 - Present · 1 yr 2 mos
Previous Registrations
Wells Fargo Advisors
May 2022 - March 2025 · 2 yrs 10 mos
Wells Fargo Clearing Services, LLCBroker
May 2022 - March 2025 · 2 yrs 10 mos
UBS Financial Services INC.Broker
June 2016 - May 2022 · 5 yrs 11 mos
UBS Financial Services INC.
June 2016 - May 2022 · 5 yrs 11 mos
Credit Suisse Securities (USA) LLC
March 2016 - June 2016 · 3 mos
Credit Suisse Securities (USA) LLCBroker
November 2000 - June 2016 · 15 yrs 7 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
June 1990 - January 2003 · 12 yrs 7 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
April 1990 - June 1990 · 2 mos
State Registrations2 states
MATX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
Diana Rogers - Financial Advisor | TrueAdvisor