Roger S. Bracken

PINNACLE PEAK WEALTH MANAGEMENT

Scottsdale, AZ 85255

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CRD#: 2792554

Professional summary

Roger Stan Bracken, who also goes by Roger S Bracken, Roger Stanley Bracken, is a registered financial advisor currently at PINNACLE PEAK WEALTH MANAGEMENT located in Scottsdale, Arizona.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Roger has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roger S Bracken | Roger Stanley Bracken

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.

2016-Present: Dynamic Wealth Advisors, Inc/Investment Related/Scottsdale, AZ/Investment Advisor/Investment Advisor Representative/Involves up to 50% time each month, including during trading hours/Dual IA Rep until end of calendar year, concurrent with client account transition to new firm.//

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Stan Bracken's 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 25, 2019 - Present

PINNACLE PEAK WEALTH MANAGEMENT

Office #1: 20715 N. Pima Road Suite 108, Scottsdale, AZ 85255

RIA

CRD#: 305316

Scottsdale, AZ

Past

September 13, 2016 - December 31, 2019

DYNAMIC

RIA

CRD#: 151367

SCOTTSDALE, AZ

Past

December 19, 2014 - September 10, 2016

POGSON & MATT WEALTH MANAGEMENT GROUP

RIA

CRD#: 155377

PHOENIX, AZ

Past

September 22, 2014 - October 14, 2014

TD AMERITRADE, INC.

CRD#: 7870

SCOTTSDALE, AZ

Past

August 28, 2012 - December 23, 2013

TD AMERITRADE, INC.

RIA

CRD#: 7870

SCOTTSDALE, AZ

Past

October 7, 2011 - December 23, 2013

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

SCOTTSDALE, AZ

Past

September 24, 2011 - December 23, 2013

TD AMERITRADE, INC.

CRD#: 7870

SCOTTSDALE, AZ

Past

October 13, 2010 - November 12, 2010

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

WEST LAFAYETTE, IN

Past

August 19, 2010 - November 12, 2010

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

WEST LAFAYETTE, IN

Past

April 8, 2010 - July 1, 2010

TD AMERITRADE, INC.

RIA

CRD#: 7870

SCOTTSDALE, AZ

Past

April 8, 2010 - July 1, 2010

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

SCOTTSDALE, AZ

Past

March 8, 2010 - July 1, 2010

TD AMERITRADE, INC.

CRD#: 7870

SCOTTSDALE, AZ

Past

June 20, 2008 - February 16, 2010

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

SCOTTSDALE, AZ

Past

November 28, 2001 - February 16, 2010

CHARLES SCHWAB & CO., INC.

CRD#: 5393

SCOTTSDALE, AZ

Past

May 13, 1999 - November 6, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 13, 1996 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

September 13, 1996 - March 1, 1999

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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

Arizona
(9/25/2019)

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: 9/29/2010

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/12/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/18/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/14/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/12/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/12/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PINNACLE PEAK WEALTH MANAGEMENT

PINNACLE PEAK WEALTH MANAGEMENT | PINNACLE PEAK WEALTH MANAGEMENT LLC

CRD#: 305316 / SEC#:

Arizona

Registered Investment Advisory firm - (9/25/2019 Approved)

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Contact information

Main Address

20715 N. Pima Road Suite 108, Scottsdale, AZ 85255

Mailing Address

Phone number

(602) 510-3833

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 28,884,097

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 S. Bracken

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Stan Bracken's CRS (Customer Relationship Summary).

Certified licenses

Experience

DYNAMIC

POGSON & MATT WEALTH MANAGEMENT GROUP

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MORGAN STANLEY DW INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/29/2010

Series 65

Date: 8/12/1999

Series 63

Date: 11/18/1996

SIE

Date: 10/14/2014

Series 7

Date: 5/12/1999

Series 6

Date: 9/12/1996

Current Firm

PINNACLE PEAK WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PINNACLE PEAK WEALTH MANAGEMENT

TRUST BUT VERIFY

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