Roger J. Buswell

BUSWELL ASSOCIATES

CASTLE ROCK, CO

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CRD#: 1036566

Professional summary

Roger James Buswell JR, CFP®, who also goes by Roger James Buswell, Roger James Jr Buswell, is a registered financial advisor currently at BUSWELL ASSOCIATES, INC. located in Castle Rock, Colorado.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Roger has worked at 9 firms and has passed the Series 63, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roger James Buswell | Roger James Jr Buswell

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.

OTHER - AGENCY OWNER, INSURANCE AGENT/BROKER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger James Buswell JR'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®

CFP^®

Certified Financial Planner

Start date: 1999

Experience

Current

January 1, 1999 - Present

BUSWELL ASSOCIATES, INC.

RIA

CRD#: 112713

CASTLE ROCK, CO

Past

November 8, 1995 - January 30, 1996

SPECTRUM SECURITIES, INC.

CRD#: 29305

AROURA HILLS, CA

Past

August 7, 1992 - September 19, 1995

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 7, 1992 - September 19, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

August 2, 1991 - August 14, 1992

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

March 19, 1990 - May 24, 1991

ALLABASHI & COMPANY, LTD.

CRD#: 10532

Past

November 19, 1989 - March 15, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

August 6, 1985 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

July 7, 1982 - August 14, 1985

G. R. PHELPS & CO., INC.

CRD#: 173

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.

Highlighted states indicate IAR registrations

IAR

Colorado
(1/1/1999)

IAR

Texas
(2/9/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/1/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/15/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 6/6/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 7/1/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/8/1990

General Securities Principal Examination

Current Firm

BUSWELL ASSOCIATES, INC.

CRD#: 112713 / SEC#:

Colorado

Registered Investment Advisory firm - (1/1/1999 Approved)

Texas

Registered Investment Advisory firm - (1/28/2022 Conditional Restricted)

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Contact information

Main Address

Castle Rock, CO

Mailing Address

Phone number

(303) 660-6199

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	39
AUM (Assets Under Management)	$ 29,629,476

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.

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Advisor Monitoring

Firm Stability Insights

Roger J. Buswell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger James Buswell JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPECTRUM SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

GUARDIAN INVESTOR SERVICES LLC

ALLABASHI & COMPANY, LTD.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

G. R. PHELPS & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/1/1985

Series 7

Date: 6/15/1985

Series 22

Date: 6/6/1983

Series 6

Date: 7/1/1982

Series 24

Date: 5/8/1990

Current Firm

BUSWELL ASSOCIATES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BUSWELL ASSOCIATES, INC.

TRUST BUT VERIFY

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