Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Cooley is a financial advisor with over 20 years of experience in the industry. Roger is currently registered with Raymond James & Associates, Inc. and is licensed to conduct business in Alabama, Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Iowa, Kansas, Michigan, Mississippi, New Jersey, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, West Virginia, Wisconsin, and Wyoming. Roger is also an Investment Advisor Representative in Michigan and Texas. Prior to joining Raymond James & Associates, Inc. Roger worked with Wells Fargo Advisors LLC and Wells Fargo Clearing Services, LLC.
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.
Please see note in schedule d - miscellaneous
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.
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2
MI
03/20/2023 - Present
Raymond James & Associates, Inc. (Bay City MI)
MI
01/01/2008 - 05/15/2018
WELLS FARGO CLEARING SERVICES, LLC (BAY CITY MI)
MI
08/04/2003 - 01/03/2008
A. G. EDWARDS & SONS, INC. (BAY CITY MI)
BOTH
Issued 06/27/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/29/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/29/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/2010
Series 3 - National Commodity Futures Examination
BC
Issued 08/01/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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