Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Smith is a financial advisor with over 30 years of experience in the financial services industry. Roger is currently registered with Independent Financial Group, LLC and is also registered in California and Colorado. Roger has a wide range of experience, including working with individuals, families, businesses, and charitable organizations. Roger is committed to providing personalized financial advice and helping clients achieve their financial goals.
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.
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
CA
01/09/2023 - Present
Independent Financial Group, LLC (SAN DIEGO CA)
CO
08/08/2019 - 01/13/2023
RBC CAPITAL MARKETS, LLC (DENVER CO)
CO
07/07/2017 - 08/06/2019
FIRST ALLIED SECURITIES, INC. (Englewood CO)
CO
02/20/2015 - 07/12/2017
LPL FINANCIAL LLC (DENVER CO)
CO
10/21/2014 - 02/20/2015
ZIONS DIRECT, INC. (DENVER CO)
NM
05/30/2013 - 11/04/2014
BOSC, INC. (ALBUQUERQUE NM)
NJ
04/30/2008 - 05/06/2011
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
CO
04/02/2007 - 04/10/2008
MORGAN STANLEY & CO., INCORPORATED (DENVER CO)
NY
10/18/1999 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
08/01/1994 - 10/22/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
07/18/1989 - 08/05/1994
SECURITIES CORPORATION OF IOWA (CEDAR RAPIDS IA)
BC
Issued 04/29/2015
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/29/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/06/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/30/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/22/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 07/15/1989
Series 7 - General Securities Representative Examination
Active
Inactive
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FINRA
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