Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Littlefield is a financial advisor with over 20 years of experience in the industry. Roger is registered with Morgan Stanley and has a broad range of experience with a focus on providing financial planning and investment advice to individuals, corporations, and institutions. Roger's previous experience includes working with Wunderlich Securities, Sanders Morris Harris Inc., and Citigroup Global Markets Inc. Roger is a Certified Financial Planner and holds Series 7, 31, 63, 65, and 66 licenses.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
OK
03/18/2020 - Present
Morgan Stanley (Tulsa OK)
OK
12/14/2012 - 05/07/2014
WUNDERLICH SECURITIES, INC. (TULSA OK)
OK
04/27/2009 - 12/14/2012
SANDERS MORRIS HARRIS INC. (TULSA OK)
OK
04/22/1999 - 05/15/2009
CITIGROUP GLOBAL MARKETS INC. (TULSA OK)
BOTH
Issued 12/27/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/05/1999
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 05/03/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/25/2020
Series 7TO - General Securities Representative Examination
BC
Issued 11/11/2019
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 04/21/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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