Roger Smith (CRD# 1964274) is an Investment Advisor Representative working at First Allied Advisory Services, Inc. in Englewood, CO and has over 23 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# 2810252
Ewealth Consulting, LLC
Score
104
CRD# 3068955
Anthony Capital, LLC
Score
103
CRD# 5176131
Fit Financial Consulting LLC
Score
103
| Company Name | Location | Dates | Years |
|---|---|---|---|
| First Allied Securities Inc. | San Diego, CA | Jul 2017 - Current | < 1 |
| Vectra Bank Colorado | Denver, CO | Feb 2015 - Current | 3 |
| Lpl Financial LLC | Denver, CO | Feb 2015 - Jul 2017 | 2 |
| Zions Capital Advisors, Inc. | Denver, CO | Oct 2014 - Feb 2015 | < 1 |
| Bosc, Inc. | Denver, CO | Apr 2013 - Oct 2014 | 1 |
| Colorado State Bank And Trust | Denver, CO | Apr 2013 - Oct 2014 | 1 |
| Ashfield Capital Partners, LLC | San Francisco, CA | Aug 2011 - Apr 2013 | 1 |
| Ubs Financial Services Inc. | Seattle, WA | Apr 2008 - Aug 2011 | 3 |
| Morgan Stanley & Company, Incorporated | Purchase, NY | Apr 2007 - Apr 2008 | 1 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Apr 2015 |
| S65 | NASAA Investment Advisors Law Examination | Dec 1994 |
- CO
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Total Assets Under Management4,543MILLIONS
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Total Number of Accounts23,384ACCOUNTS
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Average Account Value$194,276
- 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)
- Educational seminars/workshops
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