Roger W. Shumaker

NEXT GENERATION INVESTING

Topeka, KS 66614

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CRD#: 2890290

Professional summary

Roger Wayne Shumaker is a registered financial advisor currently at NEXT GENERATION INVESTING, LLC located in Topeka, Kansas.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Roger has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Wayne Shumaker'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

March 5, 2009 - Present

NEXT GENERATION INVESTING, LLC

Office #1: 5909 Sw 28th St. #100, Topeka, KS 66614

RIA

CRD#: 149017

Topeka, KS

Past

June 21, 2019 - March 10, 2025

WORLD EQUITY GROUP, INC.

CRD#: 29087

Topeka, KS

Past

August 25, 2014 - June 20, 2019

TAYLOR CAPITAL MANAGEMENT INC.

CRD#: 43559

Topeka, KS

Past

September 29, 2006 - September 26, 2014

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

TOPEKA, KS

Past

September 29, 2006 - August 25, 2014

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

TOPEKA, KS

Past

September 24, 2003 - September 29, 2006

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

TOPEKA, KS

Past

February 11, 2003 - September 29, 2006

USA FINANCIAL SECURITIES LLC

CRD#: 103857

ADA, MI

Past

May 22, 2001 - February 11, 2003

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

PETALUMA, CA

Past

February 17, 2000 - May 17, 2001

WORLD SECURITIES, INC.

CRD#: 39431

JOPLIN, MO

Past

September 4, 1998 - February 9, 2000

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

May 16, 1997 - September 8, 1998

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

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".

NEXT GENERATION INVESTING, LLC

CRD#: 149017 / SEC#: 801-122399

RIA

Registered Investment Advisory firm - (9/27/2021 Approved)

Kansas

Registered Investment Advisory firm - (3/4/2009 Approved)

Texas

Registered Investment Advisory firm - (9/22/2020 Conditional Restricted)

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

Kansas
(3/5/2009)

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 65

Date: 12/23/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/16/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/8/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/15/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NEXT GENERATION INVESTING, LLC

CRD#: 149017 / SEC#: 801-122399

RIA

Registered Investment Advisory firm - (9/27/2021 Approved)

Kansas

Registered Investment Advisory firm - (3/4/2009 Approved)

Texas

Registered Investment Advisory firm - (9/22/2020 Conditional Restricted)

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Contact information

Main Address

5909 Sw 28th St. #100, Topeka, KS 66614

Mailing Address

Phone number

(785) 228-0222

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 PLAIN ENGLISH (9/12/2023)

Regulatory assets under management

Total Number of Accounts	250
AUM (Assets Under Management)	$ 128,000,000

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Texas	ERA - Withdrawn	9/21/2020

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.

Contact information

xxxxx@xxxx.xxx

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Roger W. Shumaker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Wayne Shumaker's CRS (Customer Relationship Summary).

Certified licenses

Experience

WORLD EQUITY GROUP, INC.

TAYLOR CAPITAL MANAGEMENT INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

USA FINANCIAL SECURITIES LLC

USA FINANCIAL SECURITIES LLC

LEGACY FINANCIAL SERVICES, INC.

WORLD SECURITIES, INC.

HORNOR, TOWNSEND & KENT, LLC

CETERA WEALTH SERVICES, LLC

Primary Firm SEC Registration

NEXT GENERATION INVESTING, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/1998

Series 63

Date: 5/16/1997

SIE

Date: 10/1/2018

Series 7

Date: 5/8/2003

Series 6

Date: 5/15/1997

Current Firm

NEXT GENERATION INVESTING, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

NEXT GENERATION INVESTING, LLC

TRUST BUT VERIFY

Contact information

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