Roger Farrell Leibowitz | Financial Professional | Garland, Texas

Professional summary

Roger Farrell Leibowitz is a registered financial advisor currently at CL WEALTH MANAGEMENT LLC located in Garland, Texas and CABOT LODGE SECURITIES LLC located in Garland, Texas.

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 6 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 28, Series 24 and Series 27 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.

Morris Brown College Foundation Advisory Board, Not Investment related, 643 Martin Luther King Jr NW, Atlanta, GA 39314, Nature: Provide input as occasionally requested into decisions of the Morris Brown College Foundation, Member Posn. Start Date: 04/01/22; approximate number of hours/month devoted to the OBA: 1 and Zero hours during trading hours. Attend occasional virtual meetings of the Advisory Board

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Farrell Leibowitz'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®

None

Experience

Current

November 3, 2011 - Present

CL WEALTH MANAGEMENT LLC

Office #1: 675 Town Square Blvd. Bldg. 1a Ste 200- #376, Garland, TX 75040

RIA

CRD#: 134922

Garland, TX

Current

October 10, 2013 - Present

CABOT LODGE SECURITIES LLC

Office #1: 675 Town Square Blvd, Ste 200 Ste 200, Garland, TX 75040

BD

CRD#: 159712

Garland, TX

Current

June 29, 2021 - Present

WORLD EQUITY GROUP, INC.

Office #1: 425 N Martingale Rd Suite 1220, Schaumburg, IL 60173

RIA

BD

CRD#: 29087

Schaumburg, IL

Past

September 14, 2006 - September 26, 2013

ALLIED BEACON PARTNERS, INC.

BD

CRD#: 46227

RICHMOND, VA

Past

May 24, 2006 - December 31, 2009

CL WEALTH MANAGEMENT LLC

RIA

CRD#: 134922

RICHMOND, VA

Past

March 8, 2006 - December 23, 2009

COMMUNITY BANKERS SECURITIES, LLC

BD

CRD#: 42794

RICHMOND, VA

Past

October 12, 1994 - July 31, 2001

COMPULIFE INVESTOR SERVICES, INC.

BD

CRD#: 21543

ST. CLOUD, MN

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".

CW

CL WEALTH MANAGEMENT LLC

CRD#: 134922 / SEC#: 801-72701

RIA

Registered Investment Advisory firm - (10/4/2011 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2009 Terminated)

Colorado

Registered Investment Advisory firm - (11/4/2011 Terminated)

Connecticut

Registered Investment Advisory firm - (1/13/2012 Terminated)

Florida

Registered Investment Advisory firm - (10/6/2011 Terminated)

Georgia

Registered Investment Advisory firm - (10/12/2011 Terminated)

Illinois

Registered Investment Advisory firm - (10/4/2011 Terminated)

Iowa

Registered Investment Advisory firm - (10/6/2011 Terminated)

Maryland

Registered Investment Advisory firm - (10/19/2011 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

North Carolina

Registered Investment Advisory firm - (12/31/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (12/31/2009 Terminated)

Virginia

Registered Investment Advisory firm - (10/17/2011 Terminated)

West Virginia

Registered Investment Advisory firm - (10/6/2011 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/6/2011 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.

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

Illinois
(6/29/2021)

RR

Texas
(6/29/2021)

IAR

Texas
(2/24/2022)

IAR

Virginia
(11/3/2011)

RR

Virginia
(10/16/2013)

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

RR

IAR

Series 66

Date: 5/12/2006

Uniform Combined State Law Examination

General Industry/Product Exam

RR

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 3/7/2006

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 28

Date: 3/14/2011

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

RR

Series 24

Date: 9/12/2006

General Securities Principal Examination

Principal/Supervisory Exam

RR

Series 27

Date: 10/6/1994

Financial and Operations Principal Examination

SRO Registrations

RR

FINRA

Current Firm

CW

CL WEALTH MANAGEMENT LLC

CRD#: 134922 / SEC#: 801-72701

RIA

Registered Investment Advisory firm - (10/4/2011 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2009 Terminated)

Colorado

Registered Investment Advisory firm - (11/4/2011 Terminated)

Connecticut

Registered Investment Advisory firm - (1/13/2012 Terminated)

Florida

Registered Investment Advisory firm - (10/6/2011 Terminated)

Georgia

Registered Investment Advisory firm - (10/12/2011 Terminated)

Illinois

Registered Investment Advisory firm - (10/4/2011 Terminated)

Iowa

Registered Investment Advisory firm - (10/6/2011 Terminated)

Maryland

Registered Investment Advisory firm - (10/19/2011 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

North Carolina

Registered Investment Advisory firm - (12/31/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (12/31/2009 Terminated)

Virginia

Registered Investment Advisory firm - (10/17/2011 Terminated)

West Virginia

Registered Investment Advisory firm - (10/6/2011 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/6/2011 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).

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

425 N. Martingale Rd. Suite 1220, Schaumburg, IL 60173

Mailing Address

Phone number

(212) 388-6200

Established

Firm type

Fiscal year end

# of Employees

42

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 2-25-25 (2/25/2025)

Regulatory assets under management

Total Number of Accounts	2,073
AUM (Assets Under Management)	$ 628,729,517

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.

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roger F. Leibowitz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Farrell Leibowitz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CABOT LODGE SECURITIES LLC

WORLD EQUITY GROUP, INC.

ALLIED BEACON PARTNERS, INC.

CL WEALTH MANAGEMENT LLC

COMMUNITY BANKERS SECURITIES, LLC

COMPULIFE INVESTOR SERVICES, INC.

Primary Firm SEC Registration

CL WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/12/2006

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/7/2006

Series 28

Date: 3/14/2011

Series 24

Date: 9/12/2006

Series 27

Date: 10/6/1994

FINRA

Current Firm

CL WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CL WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors