Roger Kroll, financial advisor Sioux Center IA
86 score

Roger Kroll

CRD Number: 1129599
Current Firm: Money Concepts Advisory Service

Roger Kroll (CRD# 1129599) is an Investment Advisor Representative working at Money Concepts Advisory Service in Sioux Center, IA and has over 33 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Money Concepts Capital Corp Palm Beach Gardens, FL Feb 2008 - Current 8
Prudential Ins Co Phoenix, AZ Apr 1981 - Feb 2008 26
Pruco Securities Corporation West Des Moines, IA Apr 1981 - Feb 2008 26
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1983
S65 NASAA Investment Advisors Law Examination Jan 1997
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, 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
Get Details on the FINRA Advisor Check site
Contact Info for Roger D. Kroll
Phone Number: 561-472-2000
Registered State(s):
  • IA
By the Numbers
  • Total Assets Under Management
    1,181
    MILLIONS
  • Total Number of Accounts
    10,305
    ACCOUNTS
  • Average Account Value
    $114,649
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
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, VT, WA, WI, WV

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BADGES
86

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