Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Smithberg is a financial advisor who has been in the industry since August 1990. Roger is currently registered with Sanctuary Advisors, LLC, a financial advisor headquartered in Indianapolis, Indiana. Roger is also registered in Illinois and Texas as an Investment Advisor Representative. Prior to joining Sanctuary Advisors, LLC, Roger worked for UDI Financial Corporation. Roger has passed several securities and investment industry licensing exams, including the Series 7, Series 22, Series 31, Series 63, Series 65, and the SIE exam. Roger is a Certified Financial Planner. Roger specializes in providing financial planning, pension consulting, and educational seminars.
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.
A percentage of the total value of assets under management is charged.
1
2
IL
12/01/2023 - Present
Sanctuary Advisors, LLC (CHICAGO IL)
NA
08/09/1990 - 01/19/1999
UDI FINANCIAL CORPORATION
IA
Issued 05/28/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/04/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 02/11/1999
Series 7 - General Securities Representative Examination
BC
Issued 08/04/1990
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
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