RE
Roger J. Ensminger
HIGHPOINT PLANNING PARTNERS
Hoffman Estates, IL 60169
Some features on this profile are disabled
CRD#: 1016417
RE
Professional summary
Roger James Ensminger is a registered financial advisor currently at HIGHPOINT PLANNING PARTNERS located in Hoffman Estates, Illinois and LPL FINANCIAL LLC located in Hoffman Estates, Illinois.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Roger has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 6/25/2010 - No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - 5% OF TIME SPENT - LIFE, HEALTH & DISABILITY. 2. 7/28/2011 - ROGER J. ENSMINGER & ASSOCIATES - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE DBA - 5% OF TIME SPENT - OCCASSIONALLY SELL LIFE INSURANCE, HEALTH INSURANCE, DISABILITY INSURANCE AND LONG TERM CARE. 3. 1/25/2017 - HighPoint Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 12/20/2016 - 80 Hours Per Month/40 Hours During Securities Trading - I provide investment advisory services through Highpoint Advisory Group, an independent investment advisor firm. I started this business activity in January 2017. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 4/9/2018 - Roger J. Ensminger & Associates - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/09/1981 - 160 Hours Per Month/2 Hours During Securities Trading 5. 05/25/2023 - Professional Wealth Advisors PWA - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 05/01/2023 - 0 Hours Per Month/ During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Roger James Ensminger's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 8, 2021 - Present
HIGHPOINT PLANNING PARTNERS
Office #1: 2800 W. Higgins Road Suite 100, Hoffman Estates, IL 60169RIA
CRD#: 316636
Hoffman Estates, IL
Current
September 8, 2009 - Present
LPL FINANCIAL LLC
Office #1: 2800 W. Higgins Road, Ste 100, Hoffman Estates, IL 60169RIA
BD
CRD#: 6413
Hoffman Estates, IL
Past
January 19, 2017 - December 31, 2021
HIGHPOINT PLANNING PARTNERS
RIA
CRD#: 163768
Barrington, IL
Past
September 12, 2016 - March 15, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
SOUTH BARRINGTON, IL
Past
August 1, 2006 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
SOUTH BARRINGTON, IL
Past
January 2, 1988 - June 23, 1988
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Past
June 26, 1982 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2682
Past
March 30, 1982 - August 2, 2006
OGILVIE SECURITY ADVISORS CORPORATION
BD
CRD#: 10105
S. BARRINGTON, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP | KELLER PETERSON WEALTH ADVISORS, LLC | KEITH E. MURPHY | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC
CRD#: 316636 / SEC#: 801-122583
RIA
Registered Investment Advisory firm - (10/29/2021 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/23/2014)
RR
Arizona(9/8/2009)
RR
California(9/8/2009)
RR
Colorado(9/8/2009)
RR
Florida(9/8/2009)
RR
Georgia(5/9/2011)
RR
Illinois(9/8/2009)
IAR
Illinois(12/8/2021)
RR
Indiana(9/8/2009)
RR
Michigan(9/8/2009)
RR
Minnesota(9/8/2009)
RR
Mississippi(7/26/2010)
RR
Missouri(9/8/2009)
RR
Nebraska(5/6/2011)
RR
Nevada(9/8/2009)
RR
New Jersey(6/15/2017)
RR
New York(9/8/2009)
RR
North Carolina(9/8/2009)
RR
Oregon(9/8/2009)
RR
Pennsylvania(1/3/2020)
RR
South Carolina(9/8/2009)
RR
Texas(9/8/2009)
RR
Virginia(9/8/2009)
RR
Wisconsin(9/8/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP | KELLER PETERSON WEALTH ADVISORS, LLC | KEITH E. MURPHY | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC
CRD#: 316636 / SEC#: 801-122583
RIA
Registered Investment Advisory firm - (10/29/2021 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
2651 Warrenville Road Suite 200, Downers Grove, IL 60515
Mailing Address
Phone number
(630) 719-9222
Established
Firm type
Fiscal year end
# of Employees
104
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,813 |
| AUM (Assets Under Management) | $ 3,999,000,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
HIGHPOINT PLANNING PARTNERS
CRD#: 316636Hoffman Estates, IL 60169TRUST BUT VERIFY
Monitor Roger Ensminger
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
