Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Frank is an investment advisor representative with over 27 years of experience in the financial services industry. Roger currently works with LPL Financial LLC where Roger is registered with both FINRA and the states of Arizona and Nebraska. Roger's previous employment includes Berthel, Fisher & Company Financial Services, Inc., Lincoln Financial Advisors Corporation and The Lincoln National Life Insurance Company. Roger holds FINRA Series 6, 7 and 66 licenses. Roger's office is located in Scottsdale, AZ.
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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2
AZ
05/02/2024 - Present
LPL Financial LLC (SCOTTSDALE AZ)
AZ
11/03/2003 - 05/01/2024
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (Scottsdale AZ)
IN
12/17/1998 - 11/06/2003
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
12/17/1998 - 11/06/2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
NE
12/23/1996 - 12/11/1998
AMERITAS INVESTMENT CORP. (LINCOLN NE)
KS
06/11/1996 - 09/25/1996
WADDELL & REED, INC. (OVERLAND PARK KS)
BOTH
Issued 12/21/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/09/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1999
Series 7 - General Securities Representative Examination
BC
Issued 06/10/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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