Roger M. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roger M Smith, CFP®, CIMA®, who also goes by Roger Martin Smith, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1989. Roger had worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2023 - April 6, 2026
INDEPENDENT FINANCIAL GROUP, LLC
January 9, 2023 - April 6, 2026
INDEPENDENT FINANCIAL GROUP, LLC
August 8, 2019 - January 13, 2023
RBC CAPITAL MARKETS, LLC
August 8, 2019 - January 13, 2023
RBC CAPITAL MARKETS, LLC
July 7, 2017 - August 6, 2019
FIRST ALLIED ADVISORY SERVICES, INC.
July 7, 2017 - August 6, 2019
FIRST ALLIED SECURITIES, INC.
February 20, 2015 - July 12, 2017
LPL FINANCIAL LLC
February 20, 2015 - July 12, 2017
LPL FINANCIAL LLC
October 21, 2014 - February 20, 2015
ZIONS CAPITAL ADVISORS, INC.
October 21, 2014 - February 20, 2015
ZIONS DIRECT, INC.
May 30, 2013 - November 4, 2014
BOK FINANCIAL SECURITIES, INC.
April 16, 2013 - November 4, 2014
BOK FINANCIAL SECURITIES, INC.
November 3, 2011 - April 23, 2013
ASHFIELD CAPITAL PARTNERS
May 1, 2008 - May 6, 2011
UBS FINANCIAL SERVICES INC.
April 30, 2008 - May 6, 2011
UBS FINANCIAL SERVICES INC.
April 2, 2007 - April 10, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - April 10, 2008
MORGAN STANLEY & CO. LLC
May 15, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
October 18, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
August 1, 1994 - October 22, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 1989 - August 5, 1994
SECURITIES CORPORATION OF IOWA
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 54,951 |
| AUM (Assets Under Management) | $ 12,925,435,801 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
