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Roger Allan Bastian

J.w. Cole Financial, Inc.

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About Roger Allan Bastian

Roger Bastian is a financial professional with over 30 years of experience in the industry. Roger has held various roles at firms such as The Investment Center, Inc., Questar Capital Corporation, SunAmerica Securities, Inc., MONY Securities Corp., and Pruco Securities Corporation. Roger is currently registered with J.W. Cole Financial, Inc. and holds Series 6, 63, and 26 licenses. Roger is registered in Florida, New Hampshire, and New York.

Firm Information

Roger Bastian is currently registered with J.w. Cole Financial, Inc.. J.w. Cole Financial, Inc. is a Corporation formed in October 2002 and is registered in 52 states, including Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.

Not reported

Assets Under Management

Not reported

Total Clients

84

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Roger Bastian’s Registration & Firm History

NY

01/03/2019 - Present

J.w. Cole Financial, Inc. (Red Hook NY)

NY

11/12/2010 - 12/31/2018

THE INVESTMENT CENTER, INC. (PLEASANT VALLEY NY)

NY

01/18/2005 - 11/22/2010

QUESTAR CAPITAL CORPORATION (PLEASANT VALLEY NY)

AZ

05/19/1997 - 01/24/2005

SUNAMERICA SECURITIES, INC. (PHOENIX AZ)

NY

04/22/1996 - 03/07/1997

MONY SECURITIES CORP. (NEW YORK NY)

NJ

08/26/1986 - 03/20/1996

PRUCO SECURITIES CORPORATION (NEWARK NJ)

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Licenses & Designations

IA

Issued 10/02/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/22/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/14/1997

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/22/1986

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Roger Allan Bastian.
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