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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 Lee Smith is a financial advisor with Cetera Investment Advisers LLC located in Gaffney, South Carolina. Roger has been in the financial services industry since 1987 and has a strong background in investment management, financial planning, and insurance. Roger is a registered representative of Cetera Investment Advisers LLC and holds Series 7, Series 63, Series 66, and Series 24 licenses. He is also a registered investment advisor representative in South Carolina. In addition to his work at Cetera Investment Advisers LLC, Roger serves as President of R Lee Smith LLC, a local business focused on insurance and annuity services. Roger is committed to providing his clients with personalized financial advice and investment solutions tailored to their individual needs.
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.
A percentage of the total value of assets under management is charged.
1
2
SC
06/29/2023 - Present
Cetera Investment Advisers LLC (Gaffney SC)
SC
05/27/2011 - 06/09/2021
VOYA FINANCIAL ADVISORS, INC. (Gaffney SC)
SC
01/04/1999 - 05/31/2011
RAYMOND JAMES FINANCIAL SERVICES, INC. (GAFFNEY SC)
FL
09/27/1988 - 01/04/1999
ROBERT THOMAS SECURITIES, INC (ST. PETERSBURG FL)
NA
04/29/1987 - 10/05/1988
ISFA CORPORATION
BOTH
Issued 6/6/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 5/6/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 6/7/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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