Roger Smith, financial advisor Denver CO
96 score

Roger Smith

CRD Number: 1964274
Current Firm: Lpl Financial LLC

Roger Smith (CRD# 1964274) is an Investment Advisor Representative working at Lpl Financial LLC in Denver, CO and has over 21 years of experience in the finance industry. Roger Smith has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Lpl Financial LLC Denver, CO Feb 2015 - Current 1
Vectra Bank Colorado Denver, CO Feb 2015 - Current 1
Zions Capital Advisors, Inc. Denver, CO Oct 2014 - Feb 2015 < 1
Bosc, Inc. Denver, CO Apr 2013 - Oct 2014 1
Colorado State Bank And Trust Denver, CO Apr 2013 - Oct 2014 1
Ashfield Capital Partners, LLC San Francisco, CA Aug 2011 - Apr 2013 1
Ubs Financial Services Inc. Seattle, WA Apr 2008 - Aug 2011 3
Morgan Stanley & Company, Incorporated Purchase, NY Apr 2007 - Apr 2008 1
Morgan Stanley Dean Witter Colorado Springs, CO Oct 1999 - Apr 2007 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2015
S65 NASAA Investment Advisors Law Examination Dec 1994
Contact Info for Roger M. Smith
Phone Number: 617-423-3644
Firm Website: http://www.lpl.com
Registered State(s):
  • CO
  • TX
  • WA
By the Numbers
  • Total Assets Under Management
    112,086
    MILLIONS
  • Total Number of Accounts
    531,091
    ACCOUNTS
  • Average Account Value
    $211,049
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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