Roger A. Anderson

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES

BLOOMINGTON, MN 55437

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CRD#: 1261118

Professional summary

Roger Alan Anderson, CFP® is a registered financial advisor currently at THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC located in Bloomington, Minnesota and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Bloomington, Minnesota.

Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Roger has worked at 7 firms and has passed the Series 65, Series 63, SIE 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) CAPITAL ADVISORY GROUP ADVISORY SERVICES LLC - INVESTMENT ADVISOR REPRESENTATIVE - REGISTERED INVESTMENT ADVISER - BLOOMINGTON, MN - SINCE 04/2011 - INVESTMENT RELATED 2) ROGER A ANDERSON INC. - President - S-Corp for recording income and expenses of Bloomington MN office. - NOT INVESTMENT RELATED - START DATE: 04/21/2015 - ADDRESS: , Bloomington MN 3) THE CAPITAL ADVISORY GROUP, LLC - CO-OWNER WITH 41.66% OWNERSHIP ALONG WITH BRETT MACHTIG AND TODD MORRIS SINCE 2017 AS FINANCIAL ADVISOR AND MANAGING PARTNER - LLC - BLOOMINGTON, MN - SINCE 04/2010 - NOT INVESTMENT RELATED 4) MACHTIG AND ASSOCIATES INSURANCE SERVICES, LLC - LICENSED AGENT - NON-VARIABLE INSURANCE - BLOOMINGTON, MN - SINCE 04/2010 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Alan Anderson'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: 1994

Experience

Current

January 13, 2014 - Present

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

Office #1: 5270 West 84th Street, Suite 310, Bloomington, MN 55437

RIA

CRD#: 140551

BLOOMINGTON, MN

Current

July 7, 2016 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 5270 W 84th St Ste 310, Bloomington, MN 55437

RIA

CRD#: 20804

Bloomington, MN

Past

October 21, 2009 - July 23, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

BLOOMINGTON, MN

Past

August 14, 2009 - July 23, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

BLOOMINGTON, MN

Past

November 29, 2005 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

PLYMOUTH, MN

Past

November 29, 2005 - August 24, 2009

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

PLYMOUTH, MN

Past

January 29, 1997 - December 31, 2005

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Past

December 2, 1985 - January 9, 1997

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Past

April 24, 1985 - January 18, 1986

MML INVESTORS SERVICES, LLC

CRD#: 10409

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".

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

CRD#: 140551 / SEC#: 801-69464

RIA

Registered Investment Advisory firm - (8/25/2008 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.

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

Arizona
(10/31/2018)

California
(7/7/2016)

Colorado
(7/7/2016)

Florida
(7/7/2016)

Georgia
(6/12/2025)

Indiana
(11/12/2021)

IAR

Minnesota
(1/13/2014)

Minnesota
(7/7/2016)

North Carolina
(11/12/2021)

Oregon
(11/12/2021)

Washington
(11/12/2021)

Wisconsin
(7/7/2016)

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

IAR

Series 65

Date: 10/9/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/3/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/20/1985

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

CRD#: 140551 / SEC#: 801-69464

RIA

Registered Investment Advisory firm - (8/25/2008 Approved)

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Contact information

Main Address

10000 N 31st Ave Suite D216, Phoenix, AZ 85051

Mailing Address

Phone number

(952) 831-8243

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC BROCHURE (8/6/2025)

Regulatory assets under management

Total Number of Accounts	1,424
AUM (Assets Under Management)	$ 402,826,658

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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Firm Stability Insights

Roger A. Anderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Alan Anderson's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

CITISTREET EQUITIES LLC

CITISTREET EQUITIES LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/9/2009

Series 63

Date: 5/3/1985

SIE

Date: 10/1/2018

Series 7

Date: 4/20/1985

FINRA

Current Firm

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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