Roger A. James
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 Andrew James, who also goes by Andy James, R. Andrew James, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1996. Roger had worked at 9 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2018 - January 18, 2022
BANKERS LIFE ADVISORY SERVICES, INC.
June 20, 2018 - January 18, 2022
BANKERS LIFE SECURITIES, INC.
January 5, 2016 - June 11, 2018
ON INVESTMENT MANAGEMENT CO
November 16, 2015 - June 11, 2018
THE O.N. EQUITY SALES COMPANY
May 13, 2011 - November 18, 2015
MSI FINANCIAL SERVICES, INC.
August 17, 2010 - November 18, 2015
MSI FINANCIAL SERVICES, INC.
June 15, 2010 - August 19, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 10, 2005 - May 28, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
October 21, 2004 - January 3, 2005
AFS BROKERAGE, INC.
April 2, 1996 - December 31, 1999
PFS INVESTMENTS INC.
Primary Firm SEC Registration
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
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.
