RA
Roger A. Aiken
CETERA INVESTMENT ADVISERS LLC
GAINESVILLE, GA
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CRD#: 2158297
RA
Professional summary
Roger Alexander Aiken, who also goes by Roger A Aiken, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Gainesville, Georgia and CETERA WEALTH SERVICES, LLC located in Gainesville, Georgia.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Roger has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roger A Aiken
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.
(dba) PIEDMONT FINANCIAL GROUP; Investment Related; Residence, Gainesville, GA 30501; Financial Services; Producer; Start Date 01/2002; Sale of financial products and services. >> PIEDMONT FINANCIAL GROUP; Investment Related; Residence, Gainesville, GA 30501; Financial Sales and Service; Registered Representative; Start Date 01/2002; 160 hours per month with 8 of those hours occurring during trading hours; Sales and service of life, long-term care, disability, annuity insurance products as well as mutual funds and variable annuities; Sales and service to clients obtained. >> WELLA'S WAY; Non-Investment Related; Residence; Gainesville, GA 30501; Other; Benefit Coordinator (Part-time); Start Date 05/2021; 6 to 8 hours, more or less, per month with most of those hours per month occurring during trading hours; Assist in the initial strategy/goal development of a financial wellness employee benefits concept which targets small businesses.
CRS (Client Relationship Summary) - RIA
Click below to view Roger Alexander Aiken'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®
NoneExperience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
GAINESVILLE, GA
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Gainesville, GA
Past
May 3, 2023 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Gainesville, GA
Past
February 12, 2002 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Gainesville, GA
Past
November 1, 2001 - February 4, 2002
PAN-AMERICAN FINANCIAL ADVISERS
BD
CRD#: 15578
NEW ORLEANS, LA
Past
July 19, 2001 - October 19, 2001
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
August 27, 1998 - June 30, 2001
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
February 23, 1998 - August 14, 1998
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
August 27, 1991 - November 18, 1997
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
Past
July 9, 1991 - July 29, 1991
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/20/2025)
RR
Alaska(7/8/2025)
RR
California(2/20/2025)
RR
Colorado(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
IAR
Georgia(2/20/2025)
RR
Idaho(2/20/2025)
RR
Illinois(2/20/2025)
RR
Maryland(2/20/2025)
RR
New Jersey(2/20/2025)
RR
New Mexico(2/20/2025)
RR
North Carolina(2/20/2025)
RR
Ohio(2/20/2025)
RR
Oregon(2/20/2025)
RR
Pennsylvania(2/20/2025)
RR
South Carolina(2/20/2025)
RR
Utah(2/20/2025)
RR
Virginia(2/20/2025)
RR
Washington(2/20/2025)
RR
Wyoming(2/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
