Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger McConnell is a financial advisor with Wealth Enhancement Advisory Services, LLC. Roger has been in the financial services industry since 2001. Roger has a Series 7, Series 24, and Series 63 license. Roger is registered with the state of California as an Investment Advisor Representative (IAR). Roger is currently registered with Wealth Enhancement Advisory Services, LLC, in Plymouth, MN, and has a branch office in Lompoc, CA. Roger provides a variety of financial services, including financial planning, retirement planning, and investment management.
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.
Personalized portfolio management to meet individual financial objectives.
Erisa 3(38) investment manager
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.
Fees received from third party investment advisors
1
2
MN
01/04/2022 - Present
Wealth Enhancement Advisory Services, LLC (PLYMOUTH MN)
CA
11/01/2018 - 01/04/2022
MUTUAL SECURITIES, INC. (LOMPOC CA)
CA
06/27/2001 - 10/03/2018
RAYMOND JAMES FINANCIAL SERVICES, INC. (LOMPOC CA)
IA
Issued 09/03/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/17/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/17/2014
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/26/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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