Roger L. Pierce

FARTHER

Englewood, CO 80112

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CRD#: 2628332

Professional summary

Roger Lawrence Pierce, who also goes by Roger L Pierce, is a registered financial advisor currently at FARTHER located in Englewood, Colorado.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Roger has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roger L Pierce

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.

Roger Lawrence Pierce does business as Harmony Private Client Advisers to market the services he provides.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Lawrence Pierce'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

September 11, 2024 - Present

FARTHER

Office #1: 4b Inverness Court East Suite 250, Englewood, CO 80112

RIA

CRD#: 302050

Englewood, CO

Past

September 1, 2015 - September 18, 2017

FFEC WEALTH PARTNERS LLC

CRD#: 16507

GREENWOOD VILLAGE, CO

Past

August 26, 2015 - December 4, 2024

DENVER PWM, LLC

RIA

CRD#: 171139

DENVER, CO

Past

October 26, 2012 - August 25, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

DENVER, CO

Past

November 14, 2003 - August 25, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

DENVER, CO

Past

December 20, 2002 - April 9, 2003

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

September 10, 1999 - January 9, 2003

JAMES WHEELER & CO. INVESTMENTS, INC.

CRD#: 38157

DENVER, CO

Past

August 14, 1998 - September 9, 1999

CARILLON INVESTMENTS, INC.

CRD#: 14646

CINCINNATI, OH

Past

January 16, 1998 - July 28, 1998

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

June 20, 1995 - December 11, 1997

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

FARTHER

CRD#: 302050 / SEC#: 801-116721

RIA

Registered Investment Advisory firm - (7/19/2019 Approved)

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

Colorado
(9/11/2024)

IAR

Texas
(9/12/2024)

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: 10/25/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/10/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/18/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/16/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FARTHER

CRD#: 302050 / SEC#: 801-116721

RIA

Registered Investment Advisory firm - (7/19/2019 Approved)

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Contact information

Main Address

345 California Street Suite 600, San Francisco, CA 94104

Mailing Address

Phone number

(628) 246-8004

Established

Firm type

Fiscal year end

# of Employees

275

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 (8/11/2025)

FORM ADV PART 2A (8/11/2025)

Regulatory assets under management

Total Number of Accounts	24,245
AUM (Assets Under Management)	$ 7,523,810,877

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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Advisor Monitoring

Firm Stability Insights

Roger L. Pierce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Lawrence Pierce's CRS (Customer Relationship Summary).

Certified licenses

Experience

FFEC WEALTH PARTNERS LLC

DENVER PWM, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

MONY SECURITIES CORPORATION

JAMES WHEELER & CO. INVESTMENTS, INC.

CARILLON INVESTMENTS, INC.

ADVANTAGE CAPITAL CORPORATION

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

FARTHER

State Registrations and Notice Filings

Exams

Series 66

Date: 10/25/2012

Series 63

Date: 8/10/1998

SIE

Date: 9/18/2017

Series 7

Date: 5/17/1999

Series 6

Date: 6/16/1995

Current Firm

FARTHER

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FARTHER

TRUST BUT VERIFY

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