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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 Klauer is an investment advisor representative associated with The Caprock Group, LLC, a firm registered with the Securities and Exchange Commission. Roger Klauer is registered in Florida. Roger Klauer is an experienced investment advisor with a broad range of experience in the financial services industry. Roger Klauer has been a registered representative for over a decade and has held several roles at notable firms including Morgan Stanley, Merrill Lynch and Sun Trading LLC. The Caprock Group, LLC provides wealth management and consulting services to a variety of clients, including individuals, families, trusts, foundations, and institutions. They specialize in portfolio management, financial planning, and investment advisory services.
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.
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.
Wealth management & consulting
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.
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2
ID
05/18/2024 - Present
THE Caprock Group, LLC (BOISE ID)
MI
03/03/2017 - 07/09/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BLOOMFIELD HILLS MI)
MI
10/23/2012 - 03/07/2017
MORGAN STANLEY (TROY MI)
NY
05/09/2012 - 10/01/2012
SUN TRADING LLC (NEW YORK NY)
IA
Issued 08/11/2021
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 11/21/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/09/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/25/2013
Series 3 - National Commodity Futures Examination
BC
Issued 10/22/2012
Series 7 - General Securities Representative Examination
BC
Issued 05/08/2012
Series 56 - Proprietary Trader Qualification Examination
Active
Inactive
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