Roger A. Lillard
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 Alan Lillard, who also goes by Roger Alan Lillard, Roger Lillard, Roger Mason, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1992. Roger had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2013 - March 1, 2022
EDWARD JONES
February 8, 2013 - March 1, 2022
EDWARD JONES
October 1, 2012 - February 7, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - February 7, 2013
J.P. MORGAN SECURITIES LLC
July 27, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 27, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 11, 2007 - April 1, 2010
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
January 3, 2007 - April 1, 2010
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
August 12, 2006 - January 8, 2007
UBS FINANCIAL SERVICES INC.
November 16, 1998 - August 12, 2006
PIPER SANDLER & CO.
September 3, 1997 - November 16, 1998
U.S. BANCORP INVESTMENTS, INC.
April 10, 1997 - September 3, 1997
U.S. BANCORP SECURITIES
May 5, 1995 - August 28, 1995
MONEY CONCEPTS CAPITAL CORP
April 13, 1992 - May 17, 1993
EDWARD JONES
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 160 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
