Roger P. Whitney

ALIGN FINANCIAL

MANSFIELD, TX

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CRD#: 2159694

Professional summary

Roger Patrick Whitney, AIF®, CFP®, CIMA®, CPWA®, who also goes by Rp Whitney, is a registered financial advisor currently at ALIGN FINANCIAL, LLC located in Mansfield, Texas.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Roger has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 24, Series 8 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rp Whitney

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 Patrick Whitney's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

CIMA^®

Certified Investment Management Analyst

CPWA^®

Certified Private Wealth Advisor

Start date: 2008-04-25

Expire date: 2024-03-31

Experience

Current

August 7, 2025 - Present

ALIGN FINANCIAL, LLC

RIA

CRD#: 309238

MANSFIELD, TX

Past

February 5, 2019 - December 2, 2025

STRATEGIC FINANCIAL CONCEPTS, LLC

RIA

CRD#: 141849

Mansfield, TX

Past

November 14, 2013 - December 27, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

FT WORTH, TX

Past

March 31, 2009 - March 21, 2019

WWK WEALTH ADVISORS

RIA

CRD#: 146832

FORT WORTH, TX

Past

August 8, 2003 - July 7, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

FT WORTH, TX

Past

August 8, 2003 - December 27, 2016

LPL FINANCIAL LLC

CRD#: 6413

FT WORTH, TX

Past

October 30, 1998 - August 28, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

FORT WORTH, TX

Past

October 30, 1998 - August 28, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 31, 1991 - November 12, 1998

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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".

ALIGN FINANCIAL, LLC

AGILE RETIREMENT MANAGEMENT | RETIRE AGILE | ALIGN FINANCIAL, LLC

CRD#: 309238 / SEC#: 801-132137

RIA

Registered Investment Advisory firm - (3/10/2025 Approved)

Minnesota

Registered Investment Advisory firm - (3/12/2025 Terminated)

Texas

Registered Investment Advisory firm - (3/10/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(8/7/2025)

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

IAR

Series 65

Date: 11/30/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/19/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/27/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/29/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 4/28/1995

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/11/1994

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 3/2/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 4

Date: 9/4/1992

Registered Options Principal Examination

Current Firm

ALIGN FINANCIAL, LLC

AGILE RETIREMENT MANAGEMENT | RETIRE AGILE | ALIGN FINANCIAL, LLC

CRD#: 309238 / SEC#: 801-132137

RIA

Registered Investment Advisory firm - (3/10/2025 Approved)

Minnesota

Registered Investment Advisory firm - (3/12/2025 Terminated)

Texas

Registered Investment Advisory firm - (3/10/2025 Terminated)

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Contact information

Main Address

4960 Miller Trunk Hwy #600, Hermantown, MN 55811

Mailing Address

Phone number

(218) 336-2506

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (2/10/2026)

2A BROCHURE (2/10/2026)

Regulatory assets under management

Total Number of Accounts	753
AUM (Assets Under Management)	$ 433,731,160

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.

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Advisor Monitoring

Firm Stability Insights

Roger P. Whitney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Patrick Whitney's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATEGIC FINANCIAL CONCEPTS, LLC

LPL FINANCIAL LLC

WWK WEALTH ADVISORS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

ALIGN FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/30/1998

Series 63

Date: 8/19/1991

SIE

Date: 12/27/2016

Series 7

Date: 7/29/1991

Series 53

Date: 4/28/1995

Series 24

Date: 4/11/1994

Series 8

Date: 3/2/1993

Series 4

Date: 9/4/1992

Current Firm

ALIGN FINANCIAL, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALIGN FINANCIAL, LLC

TRUST BUT VERIFY

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