Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Frederick Grefe is an investment advisor representative associated with Raymond James & Associates, Inc., with over 30 years of experience in the industry. Roger is active in both the broker-dealer and investment advisor space. Roger has offices in Clive, IA.
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.
1
2
IA
05/16/2008 - Present
Raymond James & Associates, Inc. (Clive IA)
IA
05/11/2000 - 10/01/2007
ROBERT W. BAIRD & CO. INCORPORATED (WEST DES MOINES IA)
IA
02/08/1991 - 05/25/2000
EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC. (WEST DES MOINES IA)
BC
Issued 05/25/2000
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 04/27/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/09/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/03/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/26/1993
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/23/2000
Series 7 - General Securities Representative Examination
BC
Issued 01/30/1987
Series 6 - Investment Company Products/Variable Contracts 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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