Roger D. Werner

WERNER & C0. RIA, PLLC

Seattle, WA

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CRD#: 2008353

Professional summary

Roger David Werner is a registered financial advisor currently at WERNER & C0. RIA, PLLC located in Seattle, Washington.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Roger has worked at 1 firm and has passed the Series 63 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger David Werner'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®

None

Experience

Current

November 7, 1990 - Present

WERNER & C0. RIA, PLLC

RIA

CRD#: 117204

Seattle, WA

Past

November 7, 1990 - December 31, 2016

WERNER & C0. RIA, PLLC

RIA

CRD#: 117204

LYNNWOOD, WA

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

Washington
(11/7/1990)

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

Series 63

Date: 6/7/1990

Uniform Securities Agent State Law Examination

Principal/Supervisory Exam

Series 24

Date: 11/21/1989

General Securities Principal Examination

Current Firm

WERNER & C0. RIA, PLLC

WERNER & C0. RIA, PLLC | WERNER, O'MEARA & CO., PLLC | WERNER, O'MEARA & CO PLLC | WERNER & CO., PLLC | WERNER & CO PLLC

CRD#: 117204 / SEC#:

Washington

Registered Investment Advisory firm - (11/7/1990 Approved)

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Contact information

Main Address

Seattle, WA

Mailing Address

Phone number

(206) 755-4193

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	73
AUM (Assets Under Management)	$ 27,312,802

Red Flags

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Roger D. Werner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger David Werner's CRS (Customer Relationship Summary).

Certified licenses

Experience

WERNER & C0. RIA, PLLC

WERNER & C0. RIA, PLLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/7/1990

Series 24

Date: 11/21/1989

Current Firm

WERNER & C0. RIA, PLLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WERNER & C0. RIA, PLLC

TRUST BUT VERIFY

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