Roger S. Asel
CERTIFIED FINANCIAL STRATEGIES
Dallas, TX 75230
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CRD#: 2102267
Professional summary
Roger Steven Asel, CFP® is a registered financial advisor currently at CERTIFIED FINANCIAL STRATEGIES CORPORATION located in Dallas, Texas.
Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Roger has worked at 4 firms and has passed the Series 63 and Series 7 exams.
Biography
Born in Dallas, TX 1948. Graduated from SMU with a BBA major in accounting in 1971. I obtained my CPA in 1977 in TX. Obtained CFP designation in 1990. I have extensive experience in financial services and financial planning. Hobbies include: skiing, music, reading, writing, being outdoors, running and fitness. You are as young as you feel. Hard work is good for the soul.
Question & Answer
What are your service offerings?
Retirement Planning
Tax Planning
Comprehensive Financial Planni...
Estate Planning
Investment Planning
Do you have an area of expertise or specialization?
Charitable Giving
Estate & Generational Planning...
Investment Advice with Ongoing...
Retirement Plan Investment Adv...
Retirement Planning & Distribu...
Tax Planning
What is your minimum asset requirement?
250K
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.
ROGER S. ASEL,CPA; NON- INVESTMENT RELATED; 12700 HILLCREST RD., STE. 210, DALLAS TX 75230; TAX PREPARATION, SMALL BUSINESS CONSULTING AND ACCOUNTING SERVICES THROUGH CFS; 01/2025; APPROXIMATELY 28.59 HOURS A MONTH AND 0 MINUTES DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Roger Steven Asel'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®
CFP®
Start date: 1990
Experience
Current
March 16, 2006 - Present
CERTIFIED FINANCIAL STRATEGIES CORPORATION
Office #1: 12700 Hillcrest Rd., Ste. 210, Dallas, TX 75230RIA
CRD#: 114361
Dallas, TX
Past
July 22, 1997 - December 31, 2003
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
DALLAS, TX
Past
January 5, 1996 - August 6, 1997
CULLUM & SANDOW SECURITIES, INC.
BD
CRD#: 15836
DALLAS, TX
Past
November 21, 1990 - January 1, 1996
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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".
CF
CERTIFIED FINANCIAL STRATEGIES CORPORATION
CERTIFIED FINANCIAL STRATEGIES | ROGER STEVEN ASEL | ROGER S. ASEL, CFP, CPA/PFS | ROGER S. ASEL, CFP, CPA | CERTIFIED FINANCIAL STRATEGIES CORPORATION
CRD#: 114361 / SEC#: 801-132742
RIA
Registered Investment Advisory firm - (5/8/2025 Approved)New Mexico
Registered Investment Advisory firm - (5/13/2025 Terminated)Texas
Registered Investment Advisory firm - (5/13/2025 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.Highlighted states indicate IAR registrations
IAR
New Mexico(3/19/2009)
IAR
Texas(3/16/2006)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
CF
CERTIFIED FINANCIAL STRATEGIES CORPORATION
CERTIFIED FINANCIAL STRATEGIES | ROGER STEVEN ASEL | ROGER S. ASEL, CFP, CPA/PFS | ROGER S. ASEL, CFP, CPA | CERTIFIED FINANCIAL STRATEGIES CORPORATION
CRD#: 114361 / SEC#: 801-132742
RIA
Registered Investment Advisory firm - (5/8/2025 Approved)New Mexico
Registered Investment Advisory firm - (5/13/2025 Terminated)Texas
Registered Investment Advisory firm - (5/13/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
12700 Hillcrest Rd., Ste. 210, Dallas, TX 75230
Mailing Address
Phone number
(972) 702-8121
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 153 |
| AUM (Assets Under Management) | $ 118,141,915 |
Red Flags
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Company Information
CERTIFIED FINANCIAL STRATEGIES CORPORATION
CRD#: 114361Dallas, TX 75230TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
