Roger A. Shake

LEGACY CONSULTING GROUP

Plano, TX 75024

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CRD#: 1302570

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.

Question & Answer

What are your service offerings?

Education Planning

Retirement Income Management

Life Transitions

Divorce Planning

Estate Planning

Retirement Planning

Investment Planning

Employee and Employer Plan Ben...

Insurance Planning

Comprehensive Financial Planni...

Inheritance

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.

LEGACY CG, LLC DBA LEGACY CONSULTING GROUP RIA(INVESTMENT RELATED) 5340 LEGACY DRIVE, SUITE 165, PLANO, TX 75024 VP/MANAGER 144 HRS/MO. ;HAS GENERAL LINES AGENT INSURANCE LICENSE FOR INSURANCE SALES ACTIVITY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Alan Shake'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: 1989

Experience

Current

January 2, 2003 - Present

LEGACY CONSULTING GROUP

Office #1: 5340 Legacy Drive Ste 165, Plano, TX 75024

RIA

CRD#: 108541

Plano, TX

Current

January 6, 2004 - Present

PERRYMAN SECURITIES, INC.

Office #1: 5340 Legacy Drive, Suite 165, Plano, TX 75024

CRD#: 116502

Plano, TX

Past

May 4, 2000 - December 31, 2003

MOMENTUM INDEPENDENT NETWORK INC.

RIA

CRD#: 17587

PLANO, TX

Past

May 4, 2000 - December 31, 2003

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

DALLAS, TX

Past

January 1, 1997 - May 3, 2000

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

October 24, 1984 - November 30, 1985

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

LEGACY CONSULTING GROUP

LEGACY CG LLC | LEGACY CONSULTING GROUP

CRD#: 108541 / SEC#: 801-57457

RIA

Registered Investment Advisory firm - (4/20/2000 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
(4/6/2004)

Colorado
(3/23/2004)

Florida
(2/12/2010)

Georgia
(1/3/2022)

Louisiana
(1/3/2024)

Missouri
(3/31/2014)

IAR

Texas
(1/2/2003)

Texas
(1/6/2004)

Wisconsin
(1/3/2022)

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

Exams

State Security Law Exam

IAR

Series 65

Date: 12/14/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/13/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/26/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/23/1984

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LEGACY CONSULTING GROUP

LEGACY CG LLC | LEGACY CONSULTING GROUP

CRD#: 108541 / SEC#: 801-57457

RIA

Registered Investment Advisory firm - (4/20/2000 Approved)

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Contact information

Main Address

5340 Legacy Drive Ste 165, Plano, TX 75024

Mailing Address

Phone number

(972) 599-4750

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEGACY CONSULTING GROUP ADV PART 2A BROCHURE (3/7/2025)

Regulatory assets under management

Total Number of Accounts	513
AUM (Assets Under Management)	$ 356,411,037

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.

Contact information

xxxxx@xxxx.xxx

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Roger A. Shake

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PERRYMAN SECURITIES, INC.

MOMENTUM INDEPENDENT NETWORK INC.

MOMENTUM INDEPENDENT NETWORK INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LEGACY CONSULTING GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/1998

Series 63

Date: 12/13/1996

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/26/1996

Series 6

Date: 10/23/1984

FINRA

Current Firm

LEGACY CONSULTING GROUP

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEGACY CONSULTING GROUP

TRUST BUT VERIFY

Contact information

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