Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Alan Hartline is a financial advisor with over 20 years of experience in the financial services industry. Roger currently works for Raymond James Financial Services Advisors, Inc. where has been registered since November 2017. Prior to joining Raymond James, Roger worked for SA Stone Wealth Management Inc., Colonial Brokerage, Inc., and others. Roger provides financial planning, portfolio management, and other financial services to individuals, businesses, and organizations. Roger holds a Series 7, 24, 63, and 66 licenses and has been registered in multiple states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Hourly & fixed rate consultations
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Per participant (erisa)
1
2
AL
11/22/2017 - Present
Raymond James Financial Services Advisors, Inc. (BIRMINGHAM AL)
AL
04/22/2005 - 11/20/2017
SA STONE WEALTH MANAGEMENT INC. (BIRMINGHAM AL)
AL
01/23/2002 - 05/20/2005
COLONIAL BROKERAGE, INC. (MONTGOMERY AL)
TX
09/17/1997 - 01/22/2002
FISERV INVESTOR SERVICES, INC. (HOUSTON TX)
NA
06/16/1997 - 09/17/1997
LINK INVESTMENT SERVICES, INC.
AL
03/22/1996 - 07/25/1996
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
BOTH
Issued 09/07/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/06/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/26/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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