Roger Alan Shake
CFP®Professional Summary
Roger Alan Shake, CFP® is a registered financial advisor currently at LEGACY CONSULTING GROUP located in Plano, Texas and PERRYMAN SECURITIES, INC. located in Plano, Texas. Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Roger has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Education Planning
- Retirement Income Management
- Life Transitions
- Divorce Planning
- Estate Planning
- Retirement Planning
- Investment Planning
- Employee and Employer Plan Benefits
- Insurance Planning
- Comprehensive Financial Planning
- Inheritance
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
LEGACY CG LLC | LEGACY CONSULTING GROUP
Contact Information
Main Address
5340 Legacy Drive Ste 165, Plano, TX 75024Phone Number
(972) 599-4750# of Employees
4SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
516AUM (Assets Under Management)
$378,648,551Similar Advisors
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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.
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Primary Firm SEC Registration
LEGACY CG LLC | LEGACY CONSULTING GROUP
State Registrations and Notice Filings
(4/6/2004)
(3/23/2004)
(2/12/2010)
(1/3/2022)
(1/3/2024)
(3/31/2014)
(1/2/2003)
(1/6/2004)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1984About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Roger Alan Shake's CRS (Customer Relationship Summary).
Services Offered by Roger
- Education Planning
- Retirement Income Management
- Life Transitions
- Divorce Planning
- Estate Planning
- Retirement Planning
- Investment Planning
- Employee and Employer Plan Benefits
- Insurance Planning
- Comprehensive Financial Planning
- Inheritance
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