Roger Smith (CRD# 1964274) is an Investment Advisor Representative working at Independent Financial Group, LLC in San Diego, CA and has over 29 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.
CRD# 2730478
Madison Avenue Securities, LLC
CRD# 5621865
Lpl Financial LLC
CRD# 5084834
The Wealth Consulting Group
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Independent Financial Group, LLC | San Diego, CA | Jan 2023 - Current | 1 |
| Rbc Capital Markets,llc. | Greenwood Village, CO | Jul 2019 - Dec 2022 | 3 |
| First Allied Securities Inc. | San Diego, CA | Jul 2017 - Jul 2019 | 2 |
| Lpl Financial LLC | Denver, CO | Feb 2015 - Jul 2017 | 2 |
| Vectra Bank Colorado | Denver, CO | Feb 2015 - Jul 2017 | 2 |
| Zions Capital Advisors, Inc. | Denver, CO | Oct 2014 - Feb 2015 | < 1 |
| Colorado State Bank And Trust | Denver, CO | Apr 2013 - Oct 2014 | 1 |
| Bosc, Inc. | Denver, CO | Apr 2013 - Oct 2014 | 1 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S65 | NASAA Investment Advisors Law Examination | Dec 1994 |
| S63 | Uniform Securities State Law Examination | Apr 2015 |
- CA
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Total Assets Under Management6,751MILLIONS
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Total Number of Accounts30,369ACCOUNTS
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Average Account Value$222,295
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- 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)
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