Roger Swartz, financial advisor Roanoke VA
93 score

Roger Swartz

CRD Number: 4586140
Current Firm: Msi Financial Services, Inc.

Roger Swartz (CRD# 4586140) is an Investment Advisor Representative working at Msi Financial Services, Inc. in Roanoke, VA and has over 14 years of experience in the finance industry.

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Company Name Location Dates Years
Metlife Securities Inc. Roanoke, VA May 2013 - Current 3
Merrill Lynch, Pierce, Fenner & Smith Incorporated Roanoke, VA Oct 2009 - May 2013 3
Bank Of America, N.a. Roanoke, VA Jun 2006 - May 2013 6
Banc Of America Investment Services, Inc. Roanoke, VA Jun 2006 - Oct 2009 3
Banc Of America Insurance Services, Inc. Roanoke, VA Jun 2006 - Oct 2009 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2002
S66 NASAA Uniform Combined State Law Examination Sep 2007
Contact Info for Roger C. Swartz
Phone Number: 800-638-8378
Registered State(s):
  • NC
  • VA
By the Numbers
  • Total Assets Under Management
    13,804
    MILLIONS
  • Total Number of Accounts
    105,831
    ACCOUNTS
  • Average Account Value
    $130,432
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
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
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, 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, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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