RD
Roger S. Desai
LYNX INVESTMENT ADVISORY
Columbia, MD 21045
Some features on this profile are disabled
CRD#: 2454893
RD
Professional summary
Roger Sudhir Desai, AIF® is a registered financial advisor currently at LYNX INVESTMENT ADVISORY, LLC located in Columbia, Maryland and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Columbia, Maryland.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Roger has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.) WPM CONDO ASSOC. - VP - COMMUNITY, CIVIC OR CHARITABLE BOARD MEMBER OR OFFICER - OWINGS MILLS, MD - SINCE 01/2021 - NOT INVESTMENT RELATED 2.) RSD REAL ESTATE HOLDINGS LLC - OWNER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - COLUMBIA, MD - SINCE 01/2007 - INVESTMENT RELATED 3.) RSD FINANCIAL - MANAGING DIRECTOR - DBA NAME FOR MARKETING PURPOSES ONLY - COLUMBIA, MD - SINCE 06/2002 - INVESTMENT RELATED 4.) HOWARD COMMUNITY COLLGE - ADJUNCT FACULTY - TEACHING/COACHING - COLUMBIA, MD - SINCE 12/2005 - INVESTMENT RELATED 5.) ROGER S. DESAI - INSURANCE AGENT - NON-VARIABLE INSURANCE - COLUMBIA, MD - SINCE 01/2000 - INVESTMENT RELATED 6.) LYNX INVESTMENT ADVISORY - MANAGING DIRECTOR - REGISTERED INVESTMENT ADVISOR - WASHINGTON, DC - SINCE 12/2021 - INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Roger Sudhir Desai'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®
Experience
Current
December 8, 2021 - Present
LYNX INVESTMENT ADVISORY, LLC
Office #1: 8850 Columbia 100 Parkway Suite 306, Columbia, MD 21045RIA
CRD#: 111814
Columbia, MD
Current
December 7, 2021 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 8850 Columbia 100 Pkwy Ste. 306, Columbia, MD 21045RIA
BD
CRD#: 20804
Columbia, MD
Past
October 1, 2020 - January 5, 2022
THE PATRIOT FINANCIAL GROUP, LLC
RIA
CRD#: 172470
Columbia, MD
Past
July 31, 2014 - October 7, 2020
VERUS CAPITAL PARTNERS, LLC
RIA
CRD#: 151568
COLUMBIA, MD
Past
July 1, 2005 - July 31, 2014
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
COLUMBIA, MD
Past
June 22, 2000 - July 11, 2005
FINANCIAL PLANNING & MANAGEMENT CENTER, INC.
RIA
CRD#: 118756
ELLICOTT CITY, MD
Past
November 12, 1999 - December 9, 2021
SECURITIES AMERICA, INC.
BD
CRD#: 10205
COLUMBIA, MD
Past
August 14, 1996 - November 19, 1999
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
March 7, 1994 - August 6, 1996
HORACE MANN INVESTORS, INC.
BD
CRD#: 11643
SPRINGFIELD, IL
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".
LI
LYNX INVESTMENT ADVISORY, LLC
LEPERCQ LYNX INVESTMENT ADVISORY LLC | LYNX INVESTMENT ADVISORY,LLC | LYNX INVESTMENT ADVISORY, LLC
CRD#: 111814 / SEC#: 801-54969
RIA
Registered Investment Advisory firm - (10/17/1997 Approved)California
Registered Investment Advisory firm - (8/28/2001 Cancelled)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
Arizona(3/22/2022)
RR
California(12/7/2021)
RR
Delaware(12/7/2021)
RR
District of Columbia(3/22/2022)
RR
Florida(12/7/2021)
RR
Georgia(12/7/2021)
RR
Illinois(12/7/2021)
RR
Maryland(12/7/2021)
IAR
Maryland(12/8/2021)
RR
Michigan(3/22/2022)
RR
New Mexico(12/7/2021)
RR
New York(12/7/2021)
RR
North Carolina(12/7/2021)
RR
Ohio(12/7/2021)
RR
Pennsylvania(12/7/2021)
RR
Tennessee(12/7/2021)
RR
Texas(12/7/2021)
IAR
Texas(1/10/2022)
RR
Virginia(12/7/2021)
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
LI
LYNX INVESTMENT ADVISORY, LLC
LEPERCQ LYNX INVESTMENT ADVISORY LLC | LYNX INVESTMENT ADVISORY,LLC | LYNX INVESTMENT ADVISORY, LLC
CRD#: 111814 / SEC#: 801-54969
RIA
Registered Investment Advisory firm - (10/17/1997 Approved)California
Registered Investment Advisory firm - (8/28/2001 Cancelled)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1100 Connecticut Avenue, Nw Suite 300, Washington, DC 20036
Mailing Address
Phone number
(202) 833-3700
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 244 |
| AUM (Assets Under Management) | $ 1,303,950,138 |
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.
