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 Huse has been in the financial services industry since 1997. Roger is currently a Registered Representative with Stifel, Nicolaus & Company, Inc. Roger has previously held positions at Sterne, Agee & Leach, Inc., Anderson & Strudwick, Incorporated, Wachovia Securities, LLC, Wachovia Securities, Inc., and Edward Jones. Roger holds FINRA Series 3, 7, 9, 10, 31, 63, and 65 licenses. Roger has a deep understanding of the financial markets and provides a wide range of financial services to individuals and businesses. Roger’s experience and expertise make him a valuable resource for clients seeking investment advice.
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.
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.
1
2
SC
09/17/2019 - Present
Stifel, Nicolaus & Company, Inc. (COLUMBIA SC)
SC
12/09/2011 - 07/07/2015
STERNE, AGEE & LEACH, INC. (COLUMBIA SC)
NC
10/01/2004 - 12/09/2011
ANDERSON & STRUDWICK, INCORPORATED (CHARLOTTE NC)
MO
06/15/2002 - 10/07/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
03/02/2001 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
MO
05/28/1997 - 03/06/2001
EDWARD JONES (ST. LOUIS MO)
IA
Issued 04/16/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/29/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/29/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/24/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 05/27/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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