Roger L. Thompson

PRIVATE CLIENT SERVICES GROUP

Ocala, FL

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CRD#: 2372311

Professional summary

Roger Lee Thompson is a registered financial advisor currently at PRIVATE CLIENT SERVICES GROUP, LLC located in Ocala, Florida.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Roger has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

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.

1)PRIVATE CLIENT SERVICES GROUP LLC - Founder - Registered investment Advisor - INVESTMENT RELATED - 08/03/2015 - Tampa FL 2)PRIVATE CLIENT SERVICES GROUP LLC - Founder - DBA for marketing purposes only - INVESTMENT RELATED - 11/09/2016 - Tampa FL

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Lee Thompson'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®

None

Experience

Current

June 30, 2015 - Present

PRIVATE CLIENT SERVICES GROUP, LLC

RIA

CRD#: 17609

TAMPA, FL

Past

January 4, 1999 - May 14, 1999

JWGENESIS FINANCIAL GROUP, INC

CRD#: 38166

BOCA RATON, FL

Past

September 8, 1993 - January 4, 1999

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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

Florida
(6/30/2015)

IAR

Texas
(7/11/2015)

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 66

Date: 4/4/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/5/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/7/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/21/1996

General Securities Principal Examination

Current Firm

PRIVATE CLIENT SERVICES GROUP, LLC

CRD#: 173969 / SEC#:

Florida

Registered Investment Advisory firm - (6/30/2015 Approved)

Texas

Registered Investment Advisory firm - (7/11/2015 Conditional Restricted)

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Contact information

Main Address

Ocala, FL

Mailing Address

Phone number

(813) 760-0000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	32
AUM (Assets Under Management)	$ 6,957,146

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 L. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Lee Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

INTERNATIONAL ASSETS ADVISORY, LLC

ANDERSON & STRUDWICK, INCORPORATED

ANDERSON & STRUDWICK, INCORPORATED

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

J.P. TURNER & COMPANY, L.L.C.

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

JWGENESIS FINANCIAL GROUP, INC

CHATFIELD DEAN & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/4/2006

Series 63

Date: 12/5/1994

SIE

Date: 10/1/2018

Series 7

Date: 9/7/1993

Series 24

Date: 6/21/1996

Current Firm

PRIVATE CLIENT SERVICES GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PRIVATE CLIENT SERVICES GROUP, LLC

TRUST BUT VERIFY

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