Roger F. Maude

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CRD#: 2239472

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 Frederic Maude II was a registered financial professional .

Roger is a previously registered financial professional and started their career in finance in 1992. Roger had worked at 6 firms and has passed the Series 65, Series 63, Series 6, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 28, 2013 - June 9, 2017

WRIGHT INVESTORS SERVICE INC

RIA

CRD#: 106302

GREENWICH, CT

Past

October 1, 2000 - March 26, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 29, 2000 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

August 7, 1997 - June 29, 1998

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

September 15, 1993 - September 29, 1994

GLENFED BROKERAGE SERVICES

CRD#: 13648

GLENDALE, CA

Past

July 6, 1992 - January 19, 1993

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

May 18, 1992 - June 15, 1992

WALL STREET ACCESS

CRD#: 10012

NEW YORK, NY

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".

WRIGHT INVESTORS SERVICE INC

CRD#: 106302 / SEC#: 801-51257

RIA

Registered Investment Advisory firm - (2/23/1996 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/28/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/12/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 8/6/1997

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 5/13/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/19/1997

Investment Company Products/Variable Contracts Principal Examination

Current Firm

WRIGHT INVESTORS SERVICE INC

CRD#: 106302 / SEC#: 801-51257

RIA

Registered Investment Advisory firm - (2/23/1996 Approved)

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Contact information

Main Address

2 Corporate Drive Suite 770, Shelton, CT 06484

Mailing Address

Phone number

(203) 783-4400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

03 17 25 WIS ADV PART 2A (3/17/2025)

Regulatory assets under management

Total Number of Accounts	1,286
AUM (Assets Under Management)	$ 1,237,999,777

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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Firm Stability Insights

Roger F. Maude

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

FIRST UNION BROKERAGE SERVICES, INC.

GLENFED BROKERAGE SERVICES

INVEST FINANCIAL CORPORATION

WALL STREET ACCESS

Primary Firm SEC Registration

WRIGHT INVESTORS SERVICE INC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/28/2013

Series 63

Date: 8/12/1997

Series 6

Date: 8/6/1997

Series 7

Date: 5/13/1992

Series 26

Date: 12/19/1997

Current Firm

WRIGHT INVESTORS SERVICE INC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WRIGHT INVESTORS SERVICE INC

TRUST BUT VERIFY

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