Roger Franklin Farris
Professional Summary
Roger Franklin Farris is a registered financial advisor currently at ALLSTATE FINANCIAL SERVICES, LLC located in Covington, Louisiana. Roger is registered as a RR (Registered Representative) and started their career in finance in 2013. Roger has worked at 1 firm and has passed the SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
OSAIC WEALTH, INC.
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
LIGHTSQUARE WEALTH MANAGEMENT, LLC
ELEMENT SQUARED PRIVATE WEALTH
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
LIGHTSQUARE WEALTH MANAGEMENT, LLC
ELEMENT SQUARED PRIVATE WEALTH
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
LIGHTSQUARE WEALTH MANAGEMENT, LLC
ELEMENT SQUARED PRIVATE WEALTH
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
LIGHTSQUARE WEALTH MANAGEMENT, LLC
ELEMENT SQUARED PRIVATE WEALTH
Years of Experience
13 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
OSAIC WEALTH, INC.
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
LIGHTSQUARE WEALTH MANAGEMENT, LLC
ELEMENT SQUARED PRIVATE WEALTH
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC | LSA SECURITIES, INC. | LAUGHLIN GROUP ADVISORS, INC. | ALLSTATE FINANCIAL SERVICES, LLC OF DELAWARE | ALLSTATE FINANCIAL SERVICES, LLC D/B/A LSA SECURITIES
Contact Information
Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508-1380Mailing Address
Po Box 83271, Lincoln, NE 68501-3271Phone Number
(877) 232-2142Established
Delaware since 11/01/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | — |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE, FINOP | 6357880 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | INTERIM PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
Disclosures
Regulatory Event
4Arbitration
1Similar Advisors
OSAIC WEALTH, INC.
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
LIGHTSQUARE WEALTH MANAGEMENT, LLC
ELEMENT SQUARED PRIVATE WEALTH
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OSAIC WEALTH, INC.
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
LIGHTSQUARE WEALTH MANAGEMENT, LLC
ELEMENT SQUARED PRIVATE WEALTH
State Registrations and Notice Filings
(9/5/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2013About the Series 6 examSRO Registrations
Similar Advisors
OSAIC WEALTH, INC.
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
LIGHTSQUARE WEALTH MANAGEMENT, LLC
ELEMENT SQUARED PRIVATE WEALTH
CRS (Client Relationship Summary) - BD
Click below to view Roger Franklin Farris's CRS (Customer Relationship Summary).
Similar Advisors
OSAIC WEALTH, INC.
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
LIGHTSQUARE WEALTH MANAGEMENT, LLC
ELEMENT SQUARED PRIVATE WEALTH