Roger L. Wittlin

WITTLIN ADVISORY

San Francisco, CA

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CRD#: 1084172

Professional summary

Roger Lowell Wittlin is a registered financial advisor currently at WITTLIN ADVISORY located in San Francisco, California.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Roger has worked at 6 firms and has passed the Series 65, Series 63, Series 3 and Series 7 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) Roger Wittlin, Sole Proprietor; Non-Investment Related; San Francisco, CA; Business Consultant; 05/2014; Approximately 25% of time spent in this capacity. 2) PCCP; Investment Related; San Francisco, CA; Real Estate Strategist; 05/2014; Approximately 25% of time spent in this capacity. 3) Monroe Capital, LLC; Advisor, Investment Related, San Francisco, CA; 04/2017, Approximately 25% of time spent in this capacity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Lowell Wittlin's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 9, 2018 - Present

WITTLIN ADVISORY

RIA

CRD#: 292577

San Francisco, CA

Past

December 3, 2001 - September 8, 2004

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

January 21, 1997 - December 2, 1998

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

May 9, 1986 - January 21, 1997

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

March 20, 1984 - April 11, 1986

MORGAN STANLEY & CO. LLC

CRD#: 8209

Past

December 21, 1982 - March 19, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

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".

WITTLIN ADVISORY

ROGER WITTLIN INVESTMENT ADVISORY, LLC | WITTLIN ADVISORY

CRD#: 292577 / SEC#: 801-121381

RIA

Registered Investment Advisory firm - (6/4/2021 Approved)

Arizona

Registered Investment Advisory firm - (6/7/2021 Terminated)

California

Registered Investment Advisory firm - (7/7/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(3/9/2018)

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

IAR

Series 65

Date: 1/10/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/12/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 2/11/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/18/1982

General Securities Representative Examination

Current Firm

WITTLIN ADVISORY

ROGER WITTLIN INVESTMENT ADVISORY, LLC | WITTLIN ADVISORY

CRD#: 292577 / SEC#: 801-121381

RIA

Registered Investment Advisory firm - (6/4/2021 Approved)

Arizona

Registered Investment Advisory firm - (6/7/2021 Terminated)

California

Registered Investment Advisory firm - (7/7/2021 Terminated)

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Contact information

Main Address

San Francisco, CA

Mailing Address

Phone number

(415) 696-4044

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WITTLIN ADVISORY FORM ADV PART 2A (3/10/2025)

Regulatory assets under management

Total Number of Accounts	26
AUM (Assets Under Management)	$ 363,000,000

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.

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Roger L. Wittlin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Lowell Wittlin's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO INVESTMENTS, LLC

DEUTSCHE BANK SECURITIES INC.

GOLDMAN SACHS & CO. LLC

MORGAN STANLEY & CO. LLC

LEHMAN BROTHERS KUHN LOEB INCORPORATED

Primary Firm SEC Registration

WITTLIN ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 1/10/2018

Series 63

Date: 8/12/1986

Series 3

Date: 2/11/1985

Series 7

Date: 12/18/1982

Current Firm

WITTLIN ADVISORY

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WITTLIN ADVISORY

TRUST BUT VERIFY

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