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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Dennis Wood is a financial advisor with over 40 years of experience in the financial services industry. Roger is currently registered with Commonwealth Financial Network and provides financial advice to a wide range of clients, including high-net-worth individuals, corporations, pension and profit-sharing plans, and charitable organizations. Before joining Commonwealth Financial Network, Roger was with Ameriprise Financial Services, Inc., Ameriprise Advisor Services, Inc., UBS Financial Services Inc., Piper Jaffray & Co., Paine Webber Incorporated, Prudential Securities Incorporated, E.F. Hutton & Company Inc., Shearson/American Express Inc., and Loewi & Co., Incorporated. Roger holds a variety of licenses and registrations, including Series 7, Series 63, Series 65, Series 53, Series 4, Series 12, and Series 40. Roger is a highly experienced and qualified financial advisor who is committed to providing his clients with personalized financial advice.
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.
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
05/24/2011 - Present
Commonwealth Financial Network (PEORIA AZ)
AZ
10/05/2009 - 05/13/2011
AMERIPRISE FINANCIAL SERVICES, INC. (SUN CITY AZ)
AZ
08/27/2007 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (SUN CITY AZ)
AZ
08/12/2006 - 09/10/2007
UBS FINANCIAL SERVICES INC. (SURPRISE AZ)
AZ
10/01/1999 - 08/12/2006
PIPER JAFFRAY & CO. (SURPRISE AZ)
NJ
05/26/1994 - 10/11/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
09/30/1985 - 05/24/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
09/24/1982 - 10/04/1985
E. F. HUTTON & COMPANY INC
NA
11/08/1978 - 10/06/1982
SHEARSON/AMERICAN EXPRESS INC.
NA
07/26/1977 - 05/23/1980
RAUSCHER PIERCE REFSNES, INC.
NA
09/01/1972 - 08/06/1977
LOEWI & CO., INCORPORATED
IA
Issued 04/28/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/29/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/02/1986
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/20/1985
Series 4 - Registered Options Principal Examination
BC
Issued 06/11/1976
Series 12 - NYSE Branch Manager Examination
BC
Issued 06/04/1976
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 09/02/1977
PC - AMEX Put and Call Exam
BC
Issued 08/18/1972
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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