Roger A. Hubley

NETWORTH ASSET MANAGEMENT,

The Villages, FL

Some features on this profile are disabled

CRD#: 251984

Professional summary

Roger Allen Hubley, CFP® is a registered financial advisor currently at NETWORTH ASSET MANAGEMENT, INC located in The Villages, Florida and INTERCAROLINA FINANCIAL SERVICES, INC. located in The Villages, Florida.

Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1971. Roger has worked at 14 firms and has passed the Series 63, Series 6TO, SIE, Series 1 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.

PRESIDENT, NETWORTH ASSET MANAGEMENT,INC A REGISTERED INVESTMENT ADVISORY FIRM 40/HOURS WEEK, AGENT LIFE & HEALTH INSURANCE SALES 40/HOURS WEEK, RENTAL REAL ESTATE NOT INVESTMENT RELATED BUSINESS OFFICE RENTAL OWNER 5/HOURS WEEK. Officer of CarAmy, LLC a real estate investment company - 1 hour per month. VARIOUS LIFE INSURANCE COMPANIES. AS LICENSED AND APPOINTED INSURANCE AGENT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Allen Hubley's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1996

Experience

Current

November 21, 2000 - Present

NETWORTH ASSET MANAGEMENT, INC

RIA

CRD#: 105145

The Villages, FL

Current

May 21, 2024 - Present

INTERCAROLINA FINANCIAL SERVICES, INC.

RIA

CRD#: 19475

the Villages, FL

Past

March 5, 2024 - May 14, 2024

TRANSITIONAL BROKER LLC

CRD#: 304313

DRAPER, UT

Past

July 31, 2015 - February 29, 2024

INTERCAROLINA FINANCIAL SERVICES, INC.

CRD#: 19475

the Villages, FL

Past

February 4, 2015 - August 3, 2015

IFS SECURITIES

CRD#: 40375

Marco Island, FL

Past

September 28, 2011 - February 18, 2015

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

MARCO ISLAND, FL

Past

April 16, 2009 - February 18, 2015

GIRARD SECURITIES, INC.

CRD#: 18697

MARCO ISLAND, FL

Past

October 18, 2004 - May 15, 2009

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740

MINNEAPOLIS, MN

Past

February 7, 2003 - October 15, 2004

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Past

September 25, 1989 - February 7, 2003

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

January 12, 1984 - October 3, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

July 23, 1979 - January 9, 1984

WORLD CAPITAL BROKERAGE, INC.

CRD#: 37

Past

March 7, 1977 - July 13, 1977

LINSCO FINANCIAL GROUP, INC.

CRD#: 524

Past

January 14, 1977 - July 26, 1989

PROVIDENT MARKETING CORPORATION

CRD#: 7328

Past

June 17, 1975 - January 14, 1977

PROVIDENT NATIONAL EQUITIES, INC.

CRD#: 40

Past

November 16, 1971 - August 14, 1976

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

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".

NETWORTH ASSET MANAGEMENT, INC

NETWORTH ASSET MANAGEMENT | NETWORTH INC | NETWORTH ASSET MANAGEMENT, INC

CRD#: 105145 / SEC#: 801-129943

RIA

Registered Investment Advisory firm - (4/25/2024 Approved)

Florida

Registered Investment Advisory firm - (4/26/2024 Terminated)

Minnesota

Registered Investment Advisory firm - (4/26/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/25/2024 Terminated)

Texas

Registered Investment Advisory firm - (3/20/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

Florida
(11/21/2000)

Florida
(7/19/2024)

IAR

Minnesota
(12/23/2013)

Minnesota
(7/16/2024)

IAR

Pennsylvania
(4/1/2013)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/15/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 11/11/1971

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/9/1984

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NETWORTH ASSET MANAGEMENT, INC

NETWORTH ASSET MANAGEMENT | NETWORTH INC | NETWORTH ASSET MANAGEMENT, INC

CRD#: 105145 / SEC#: 801-129943

RIA

Registered Investment Advisory firm - (4/25/2024 Approved)

Florida

Registered Investment Advisory firm - (4/26/2024 Terminated)

Minnesota

Registered Investment Advisory firm - (4/26/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/25/2024 Terminated)

Texas

Registered Investment Advisory firm - (3/20/2024 Terminated)

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

The Villages, FL

Mailing Address

Phone number

(352) 268-2080

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NETWORTH ASSET MANAGEMENT, INC (4/9/2025)

Regulatory assets under management

Total Number of Accounts	251
AUM (Assets Under Management)	$ 102,893,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roger A. Hubley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Allen Hubley's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTERCAROLINA FINANCIAL SERVICES, INC.

TRANSITIONAL BROKER LLC

INTERCAROLINA FINANCIAL SERVICES, INC.

IFS SECURITIES

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

PROSPERA FINANCIAL SERVICES, INC.

THE O.N. EQUITY SALES COMPANY

WALNUT STREET SECURITIES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

WORLD CAPITAL BROKERAGE, INC.

LINSCO FINANCIAL GROUP, INC.

PROVIDENT MARKETING CORPORATION

PROVIDENT NATIONAL EQUITIES, INC.

1717 CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

NETWORTH ASSET MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/15/1985

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 11/11/1971

Series 24

Date: 5/9/1984

FINRA

Current Firm

NETWORTH ASSET MANAGEMENT, INC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NETWORTH ASSET MANAGEMENT, INC

TRUST BUT VERIFY

Similar Advisors