RD
Roger L. Dick
UWHARRIE INVESTMENT ADVISORS
ALBEMARLE, NC 28001
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CRD#: 1639662
RD
Professional summary
Roger Lee Dick, AIF®, CIMA® is a registered financial advisor currently at UWHARRIE INVESTMENT ADVISORS, INC. located in Albemarle, North Carolina and THE STRATEGIC ALLIANCE CORPORATION located in Albemarle, North Carolina.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Roger has worked at 3 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 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) UWHARRIE CAPITAL CORP, PRES AND CEO BEGINNING MARCH 1983, 132 N. FIRST ST. ALBEMARLE, NC 28001, 160 HRS/MTH. 2)ALBEMARLE IMPROVEMENT, LLC, INVESTMENT COMMITTEE, 157 N. SECOND ST ALBEMARLE NC 28001, LESS THAN 1 HR/MTH, STARTED JUNE 2006. 3) PFEIFFER COLLEGE BOARD OF TRUSTEES SINCE 2017, MEMBER OF INV COMMMITTEE AND WORKS WITH ENDOWMENT PORTFOLIO, 3% TIME SPENT, FINANCE COMM STARTING OCT 2016. 4) WINDY BEACH, LLC, MEMBER, REAL ESTATE HOLDING COMPANY SINCE 2011, 0 HR/MTH. 5)ONE BUILDING AT A TIME,LLC, DEPRESSED PPTY DEV STARTING 2012. 6)UWHARRIE BANK, CEO AND DIRECTOR SEPT 2013 - JAN 2018, JAN 2020 - PRESENT, CASHIER AND DIRECTOR JAN 2018 - JAN 2020.. 7) UWHARRIE BREWERY, LLC, CREATED FOR LOCAL COMMUNITY DEV, 08/2012. 8)STANLY COUNTY COMMUNITY FOUNDATION STARTING JAN 2017, PHILANTHROPY AND ADDRESS LOCAL COMMUNITY NEEDS; AMENDED OBA TO CHAIR OF ADVISOR BOARD FEB 2022 9)UWHARRIE CAPITAL CORP COMMUNITY FOUNDATION STARTING JAN 2022, COMMUNITY GIVING AND SUPPORT. 10) 68 FALLS ROAD LLC, CREATED LLC TO HOLD REAST ESTATE PROPERTY, 01/2022 11) UWHARRIE MORTGAGE, LLC, ACTIVITY LIMITED TO SIGNING DEEDS OF TRUST FOR UWHARRIE BANK AS TRUSTEE, APRIL 2004. 12) GATEWAY MORTGAGE, MORTGAGE ORIGINATION COMPANY, 10/1991
CRS (Client Relationship Summary) - RIA
Click below to view Roger Lee Dick's 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®
Experience
Current
December 31, 2001 - Present
UWHARRIE INVESTMENT ADVISORS, INC.
Office #1: 132 North First Street, Albemarle, NC 28001RIA
CRD#: 117592
ALBEMARLE, NC
Current
June 20, 1995 - Present
THE STRATEGIC ALLIANCE CORPORATION
Office #1: 132 North First Street, Albemarle, NC 28001BD
CRD#: 32788
Albemarle, NC
Past
April 4, 2005 - June 22, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
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".
UI
UWHARRIE INVESTMENT ADVISORS, INC.
STRATEGIC INVESTMENT ADVISORS, INC. | UWHARRIE INVESTMENT ADVISORS, INC. | UWHARRE INVESTMENT ADVISORS, INC.
CRD#: 117592 / SEC#: 801-63767
RIA
Registered Investment Advisory firm - (1/3/2005 Approved)North Carolina
Registered Investment Advisory firm - (2/2/2005 Terminated)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
North Carolina(1/5/1996)
IAR
North Carolina(12/31/2001)
RR
South Carolina(11/2/2001)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UI
UWHARRIE INVESTMENT ADVISORS, INC.
STRATEGIC INVESTMENT ADVISORS, INC. | UWHARRIE INVESTMENT ADVISORS, INC. | UWHARRE INVESTMENT ADVISORS, INC.
CRD#: 117592 / SEC#: 801-63767
RIA
Registered Investment Advisory firm - (1/3/2005 Approved)North Carolina
Registered Investment Advisory firm - (2/2/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
132 North First Street, Albemarle, NC 28001
Mailing Address
P.o. Box 1517, Albemarle, NC 28002
Phone number
(704) 983-5959
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 811 |
| AUM (Assets Under Management) | $ 278,247,352 |
Red Flags
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Company Information
UWHARRIE INVESTMENT ADVISORS, INC.
CRD#: 117592Albemarle, NC 28001TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
