Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Conde is an investment advisor with Cambridge Investment Research Advisors, Inc. Roger has been in the financial services industry since 1994, having worked with a number of firms over the years. Roger is registered to provide investment advice in 12 states, and his specialties include retirement planning, insurance, and investment management. Roger has a variety of certifications and licenses, including his Series 7, 6, 63, 65, and 24.
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.
Solicitation fees from 3rd party money managers
1
2
CA
03/30/2022 - Present
Cambridge Investment Research Advisors, Inc. (Hermosa Beach CA)
CA
10/31/2019 - 03/30/2022
FOUNDERS FINANCIAL SECURITIES LLC (Manhattan Beach CA)
CA
07/17/2013 - 10/31/2019
FIRST ALLIED SECURITIES, INC. (El Segundo CA)
CA
04/01/2008 - 07/18/2013
NPB FINANCIAL GROUP, LLC (MANHATTAN BEACH CA)
CA
04/10/2007 - 04/02/2008
J.P. TURNER & COMPANY, L.L.C. (EL SEGUNDO CA)
CA
11/03/2005 - 04/16/2007
NEXT FINANCIAL GROUP, INC. (EL SEGUNDO CA)
AZ
10/31/2005 - 11/07/2005
AIG FINANCIAL ADVISORS, INC. (SCOTTSDALE AZ)
AZ
11/18/1997 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
WI
08/08/1997 - 11/28/1997
FIMCO SECURITIES GROUP, INC. (PORT WASHINGTON WI)
CA
06/27/1994 - 07/30/1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
IA
Issued 07/14/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/09/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/27/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/1996
Series 7 - General Securities Representative Examination
BC
Issued 06/24/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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