Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Whittaker is a financial advisor who has been in the industry since 1981. Currently, Roger is registered with LPL Financial LLC in Redding, CA. Roger is also registered in 17 states and holds licenses including Series 7, Series 24, and Series 63. Roger has previously worked with DEAN WITTER REYNOLDS INC. in Purchase, NY.
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.
Consulting and other non-discretionary advisory services
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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CA
03/22/2013 - Present
LPL Financial LLC (REDDING CA)
NY
02/23/1981 - 07/13/1989
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 03/14/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/15/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/1982
Series 5 - Interest Rate Options Examination
BC
Issued 02/21/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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