Megan S. Rotter
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Megan Slocum Rotter, who also goes by Megan Lynne Rotter, Megan Lynne Slocum, was a registered financial professional .
Megan is a previously registered financial professional and started their career in finance in 2004. Megan had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2010 - June 22, 2018
UBS ASSET MANAGEMENT (US) INC.
November 17, 2010 - June 22, 2018
UBS ASSET MANAGEMENT (AMERICAS) LLC
April 18, 2005 - February 17, 2009
VAN KAMPEN ADVISORS INC
April 13, 2004 - February 17, 2009
INVESCO CAPITAL MARKETS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
