Roger C. Ratzlaff

WATERFRONT WEALTH

Overland Park, KS 66209

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CRD#: 1571089

Professional summary

Roger Carter Ratzlaff JR, who also goes by Roger Carter Jr Ratzlaff, is a registered financial advisor currently at WATERFRONT WEALTH INC. located in Overland Park, Kansas.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Roger has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roger Carter Jr Ratzlaff

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) RCR PROPERTIES LLC; INV RELATED; SPRING HILL, KS; LLC ESTABLISHED TO HOLD REAL ESTATE; 100% OWNERSHIP; START 12/22/2010; APPROX. TWO HOURS DEVOTED PER MONTH; SOME OF WHICH MAY BE DURING TRADING HOURS. 2) CARTER CAPITAL LLC; INV RELATED; SPRING HILL, KS; LLC ESTABLISHED TO HOLD FARMLAND REAL ESTATE; 100% OWNERSHIP WITH SPOUSE; START 12/22/1010; APPROX. FIFTY HOURS DEVOTED PER MONTH; SOME OF WHICH MAY BE DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Carter Ratzlaff JR'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

April 2, 2015 - Present

WATERFRONT WEALTH INC.

Office #1: 6711 W 121st Street Suite 200, Overland Park, KS 66209

RIA

CRD#: 173220

Overland Park, KS

Past

May 18, 2012 - October 5, 2020

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

LEAWOOD, KS

Past

May 18, 2012 - October 5, 2020

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

LEAWOOD, KS

Past

January 1, 2008 - May 18, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

OVERLAND PARK, KS

Past

January 1, 2008 - May 18, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

OVERLAND PARK, KS

Past

December 16, 1997 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

OVERLAND PARK, KS

Past

June 17, 1988 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

OVERLAND PARK, KS

Past

October 13, 1986 - June 22, 1988

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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".

WATERFRONT WEALTH INC.

WATERFRONT ASSET MANAGEMENT | WATERFRONT WEALTH MANAGEMENT | WATERFRONT WEALTH INC. | WATERFRONT WEALTH ADVISORS

CRD#: 173220 / SEC#: 801-110161

RIA

Registered Investment Advisory firm - (3/22/2017 Approved)

Kansas

Registered Investment Advisory firm - (3/29/2017 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

Kansas
(4/2/2015)

IAR

Texas
(12/26/2017)

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: 2/8/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/14/1986

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: 8/20/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/10/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/13/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/21/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

WATERFRONT WEALTH INC.

WATERFRONT ASSET MANAGEMENT | WATERFRONT WEALTH MANAGEMENT | WATERFRONT WEALTH INC. | WATERFRONT WEALTH ADVISORS

CRD#: 173220 / SEC#: 801-110161

RIA

Registered Investment Advisory firm - (3/22/2017 Approved)

Kansas

Registered Investment Advisory firm - (3/29/2017 Terminated)

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Contact information

Main Address

6711 W 121st Street Suite 200, Overland Park, KS 66209

Mailing Address

Phone number

(913) 951-5800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WATERFRONT WEALTH ADV PART 2 (6/18/2025)

Regulatory assets under management

Total Number of Accounts	4,120
AUM (Assets Under Management)	$ 890,000,000

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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Firm Stability Insights

Roger C. Ratzlaff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Carter Ratzlaff JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

WATERFRONT WEALTH INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/8/1994

Series 63

Date: 10/14/1986

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1988

Series 6

Date: 10/10/1986

Series 10

Date: 1/13/2003

Series 9

Date: 10/21/2002

Current Firm

WATERFRONT WEALTH INC.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATERFRONT WEALTH INC.

TRUST BUT VERIFY

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