Roger L. Williams
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 Larry Williams, who also goes by Roger L Williams, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1994. Roger had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2011 - December 31, 2015
AVANTAX ADVISORY SERVICES
November 10, 2010 - December 31, 2015
AVANTAX INVESTMENT SERVICES, INC.
December 21, 2005 - November 12, 2010
WOODBURY FINANCIAL SERVICES, INC.
June 3, 2004 - November 12, 2010
WOODBURY FINANCIAL SERVICES, INC.
February 2, 2001 - June 3, 2004
CETERA WEALTH SERVICES, LLC
July 26, 1999 - June 3, 2004
CETERA WEALTH SERVICES, LLC
December 5, 1997 - July 20, 1999
PACIFIC WEST SECURITIES, INC.
August 10, 1994 - December 11, 1997
AVANTAX INVESTMENT SERVICES, INC.
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
