Roger Bracken, financial advisor Scottsdale AZ

Roger Bracken

CRD Number: 2792554
Current Firm: Pinnacle Peak Wealth Management

Roger Bracken (CRD# 2792554) is an Investment Advisor Representative working at Pinnacle Peak Wealth Management in Scottsdale, AZ and has over 27 years of experience in the finance industry.

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Company Name Location Dates Years
Pinnacle Peak Wealth Management LLC Scottsdale, AZ Nov 2018 - Current 5
Dynamic Wealth Advisors, Inc. Scottsdale, AZ Sep 2016 - Current 7
Pogson & Matt Wealth Management Group, LLC Scottsdale, AZ Sep 2014 - Sep 2016 2
Mgb Group LLC Scottsdale, AZ Aug 2014 - Jul 2016 1
Td Ameritrade, Inc. Scottsdale, AZ Sep 2011 - Jul 2014 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1996
S65 NASAA Investment Advisors Law Examination Aug 1999
S66 NASAA Uniform Combined State Law Examination Sep 2010
Disclosure Information

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, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Roger S. Bracken
Phone Number: 602-510-3833
Registered State(s):
  • AZ
By the Numbers
  • Total Assets Under Management
    24
    MILLIONS
  • Total Number of Accounts
    61
    ACCOUNTS
  • Average Account Value
    $389,809
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

AZ

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