Roger StevensonCRD Number: 1986153
Current Firm: Thrivent Investment Management Inc.
Roger Stevenson (CRD# 1986153) is an Investment Advisor Representative working at Thrivent Investment Management Inc. in Harlingen, TX and has over 28 years of experience in the finance industry.
Securities America Advisors, Inc.
The Prudent Investor Coach, LLC
First Allied Advisory Services, Inc.
|Thrivent Financial For Lutherans||Appleton, WI||Jul 2002 - Current||15|
|Thrivent Investment Management Inc.||Harlingten, TX||Jul 2002 - Current||15|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1989|
|S66||NASAA Uniform Combined State Law Examination||Jul 2003|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
- Regulatory Event
Total Assets Under Management8,027MILLIONS
Total Number of Accounts36,119ACCOUNTS
Average Account Value$222,230
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV