Roger Adrian Versteeg, CFP, CHFC, CLU | Financial Professional | Mankato, Minnesota

Professional summary

Roger Adrian Versteeg, CFP®, ChFC®, CLU® is a registered financial advisor currently at SWBC INVESTMENT COMPANY located in Mankato, Minnesota and SWBC INVESTMENT SERVICES, LLC located in San Antonio, Texas.

Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Roger has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 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.

IAR of affiliated Registered Investment Advisor - SWBC Investment Company Licensed Insurance Agent - SWBC Investment Services, LLC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Adrian Versteeg'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®

CFP^®

Certified Financial Planner

Start date: 1992

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

December 7, 2007 - Present

SWBC INVESTMENT COMPANY

RIA

CRD#: 140994

MANKATO, MN

Current

October 17, 2007 - Present

SWBC INVESTMENT SERVICES, LLC

Office #1: 9311 San Pedro Suite 600, San Antonio, TX 78216Office #2: 9311 San Pedro, Ste 600, San Antonio, TX 78216

BD

CRD#: 133715

San Antonio, TX

Past

September 19, 2005 - July 10, 2007

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

MANKATO, MN

Past

October 30, 1993 - July 10, 2007

CUNA BROKERAGE SERVICES, INC.

BD

CRD#: 13941

MANKATO, MN

Past

July 5, 1983 - October 29, 1993

CENTURY INVESTORS OF AMERICA, INC.

BD

CRD#: 5322

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".

SI

SWBC INVESTMENT COMPANY

CRD#: 140994 / SEC#: 801-68054

RIA

Registered Investment Advisory firm - (6/25/2007 Approved)

Florida

Registered Investment Advisory firm - (12/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2007 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.

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

Arizona
(3/18/2009)

RR

California
(5/19/2017)

RR

Colorado
(1/3/2008)

RR

Iowa
(1/4/2008)

RR

Minnesota
(10/22/2007)

RR

Montana
(1/4/2016)

RR

North Dakota
(5/19/2025)

RR

Oklahoma
(9/22/2008)

IAR

Texas
(12/7/2007)

RR

Texas
(1/2/2008)

RR

Utah
(1/2/2008)

RR

Virginia
(12/28/2015)

RR

Washington
(5/28/2009)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

RR

Series 63

Date: 7/6/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 6/20/1995

General Securities Representative Examination

General Industry/Product Exam

RR

Series 22

Date: 9/11/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 7/1/1983

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

RR

FINRA

Current Firm

SI

SWBC INVESTMENT COMPANY

CRD#: 140994 / SEC#: 801-68054

RIA

Registered Investment Advisory firm - (6/25/2007 Approved)

Florida

Registered Investment Advisory firm - (12/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2007 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).

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Contact information

Main Address

9311 San Pedro Avenue Suite 600, San Antonio, TX 78216-4459

Mailing Address

Phone number

(210) 376-3279

Established

Firm type

Fiscal year end

# of Employees

28

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWBC INVESTMENT COMPANY WRAP PROGRAM (3/31/2025)

SWBC INVESTMENT COMPANY ADV SCHEDULE A PART 2 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	406
AUM (Assets Under Management)	$ 229,193,705

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 A. Versteeg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Adrian Versteeg's CRS (Customer Relationship Summary).

Certified licenses

Experience

SWBC INVESTMENT SERVICES, LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

CENTURY INVESTORS OF AMERICA, INC.

Primary Firm SEC Registration

SWBC INVESTMENT COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 7/6/1983

SIE

Date: 10/1/2018

Series 7

Date: 6/20/1995

Series 22

Date: 9/11/1985

Series 6

Date: 7/1/1983

FINRA

Current Firm

SWBC INVESTMENT COMPANY

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SWBC INVESTMENT COMPANY

TRUST BUT VERIFY

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