Roger J. Grant
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 Jaymer Grant, CFP®, who also goes by Roger J Grant, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1996. Roger had worked at 7 firms and has passed the Series 65, Series 63, 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
Start date: 1998
Experience
February 16, 2010 - January 3, 2017
AVANTAX ADVISORY SERVICES
January 5, 2010 - January 3, 2017
AVANTAX INVESTMENT SERVICES, INC.
February 20, 2008 - December 31, 2009
INSPHERE SECURITIES, INC.
February 20, 2008 - December 31, 2009
INSPHERE SECURITIES, INC.
June 17, 2002 - January 18, 2008
SPC
May 29, 2002 - January 18, 2008
PARKLAND SECURITIES, LLC
March 28, 2000 - May 29, 2002
EQUITY SERVICES, INC.
July 2, 1999 - May 29, 2002
EQUITY SERVICES, INC.
December 18, 1996 - June 23, 1999
WMA SECURITIES, INC.
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
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
