Roger P. Simard
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 Paul Simard, CFP® was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1990. Roger had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2002
Experience
April 1, 2008 - March 10, 2022
GENESIS FINANCIAL ADVISORS
July 11, 2002 - October 19, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 11, 1999 - July 17, 2002
METROPOLITAN LIFE INSURANCE COMPANY
November 11, 1999 - July 17, 2002
MSI FINANCIAL SERVICES, INC.
August 20, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 20, 1990 - November 3, 1999
PRUCO SECURITIES, LLC.
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
GENESIS FINANCIAL ADVISORS
CRD#: 144693 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 15 |
| AUM (Assets Under Management) | $ 2,000,000 |
Red Flags
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