Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Compton is a financial professional with over 30 years of experience in the financial services industry. Roger has worked for several well-known firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Stifel, Nicolaus & Company, Incorporated, and currently works for Wells Fargo Clearing Services, LLC. Roger is currently registered as a Registered Representative in Illinois and Texas. Roger has a wide range of experience in providing investment consulting services, financial planning, and portfolio management for individuals and businesses. Roger specializes in investment consulting services to institutional clients, pension consulting and selection of other advisors.
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.
Investment consulting services to institutional clients
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.
1
2
IL
08/16/2011 - Present
Wells Fargo Clearing Services, LLC (O FALLON IL)
IL
12/13/1994 - 08/22/2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED (EDWARDSVILLE IL)
NY
02/05/1992 - 12/02/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CT
09/30/1989 - 02/06/1992
ADVEST, INC. (HARTFORD CT)
MO
01/12/1989 - 09/30/1989
NEWHARD, COOK & CO. INCORPORATED (ST. LOUIS MO)
NA
01/20/1988 - 12/07/1988
BLINDER, ROBINSON & CO., INC.
IA
Issued 09/28/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/04/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/07/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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