RS
Roger W. Shumaker
NEXT GENERATION INVESTING
Topeka, KS 66614
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CRD#: 2890290
RS
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.
1)NEXT GENERATION INVESTING, LLC; INVESTMENT RELATED; 5909 SW 28th Street, Ste. 100, Topeka, KS 66614; Nature of the OBA: Investment Advisor Representative; Posn/Title/Relationship: , Managing Member and 70% Owner; START DATE: 2/9/2009; TIME SPENT APPROX. 150 Hrs/Mo, 8 Hrs during trading hours. Duties: RIA PROVIDING CLIENTS WITH FINANCIAL PLANNING SERVICES; PORTFOLIO MANAGEMENT; SELECTION OF MONEY MANAGERS; MARKET TIMING SERVICES & SUB-ACCOUNT ADVISOR FOR OTHER INVESTMENT ADVISORS; DUTIES: PROVIDING CLIENTS WITH INVESTMENT ADVISORY SERVICES AND CONDUCTING EDUCATIONAL SEMINAR/WORKSHOPS. 2)Insurance Sales; Investment Related; 5909 SW 28th St., Ste. 100, Topeka, KS 66614; Nature of OBA: Sales of Life and Health insurance products; Posns/Title/Relationship: Agent; Start Date: 8-1-1987, Approx. 10 hrs/Mo, 8 Hrs during trading hours, SOLE PROP; Duties: Sales of life and health insurance product and fee-based review of LTC/FIXED & FIA Annuities/Health insurances. 3) Susan's Tax Prep; Not investment related; 5909 SW 28th St., Ste. 100, Topeka, KS 66614; Nature of the OBA: Income Tax Preparation; Position/Title/Relationship: Co-owner/Support Person; Start Date: 8/1/87; Approx. 10 hrs/Mo, 1 during trading hours; Duties: To support the tax preparer in locating documents and information. Provide tax guidance to clients. 4)THE RETIREMENT TEAM (DBA); Investment Related; 5909 SW 28th St., Ste. 100, Topeka, KS 66614; Nature of OBA: Nature: DBA for marketing purpose; Position/Title/Relationship: Owner; Start Date: 1/1/2012, ZERO hrs/Mo; ZERO hrs during trading hrs. 5) Shumaker Development, LLC; Not Investment Related; 5909 SW 28th St., Ste. 100, Topeka, KS 66614; Nature of OBA: Commercial Real Estate; Position/Title/Relationship: Owner/Managing Member; Start Date 12/15/06, Approx. 5 hrs/Mo, 1 Hr. during trading hours; Duties: Collecting rent, maintaining the property, paying bills, filling vacancies, overseeing repair and maintenance requests. 6) Estate and other planning; Investment related; 5909 SW 28th St., Ste. 100, Topeka, KS 66614; Nature of OBA: Fee Based Planning; Position/Title/Relationship: Planner; Start Date: 1/1/12; Approx. 8 hrs/Mo; 4 Hrs during trading hours; Duties: Fee based Estate planning, LTC planning, Insurance planning, Income tax review and planning. 7) Notary Services; Not investment related; 5909 SW 28th St., Ste. 100, Topeka, KS 66614; Nature of OBA: Provide Notary services; Position/Title/Relationship: Notary; Start Date: 8/27/02; Approx. Hrs/Mo. 1; Hrs during Trading: 1 Hr.; Duties: Provide Notary services. 8) SmartVestor Pro; Investment Related; 5909 SW 28th St., Ste. 100, Topeka, KS 66614; Nature of OBA: Dave Ramsey Smartvestor Pro; Position/Title/Relationship: Smartvestor Pro; Start Date: 1/26/16,; Approx. 1 hrs/Mo, Hrs during trading hrs: 1 hr.; Duties: Provide financial coaching and education. 9) Sunset Shores Homeowners Association; Not investment related; 2400 SW Pepperwood Rd, Topeka, KS 66614; Homeowners Association; President; Start Date: 09.24.22; Hrs/Month: 10 Hrs; Hours during Trading hours: 4; Oversee the HOA as the President. 10) Farming Business; POSITION: Owner NATURE: Farm INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 4 START DATE: 09/06/2022 ADDRESS: W Road, Wetmore KS 66550, United States DESCRIPTION: Farm Management. 11) Trustee; Trustee for the Shumaker Legacy Trust and Shumaker Retirement Trust for a Direct Family Member. No Trustee compensation; Trustee Duties; 5909 SW 28th St, Suite 100, Topeka, KS 66614, Start Date: 12.20.22
CRS (Client Relationship Summary) - RIA
Click below to view Roger Wayne Shumaker'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®
NoneExperience
Current
March 5, 2009 - Present
NEXT GENERATION INVESTING, LLC
Office #1: 5909 Sw 28th St. #100, Topeka, KS 66614RIA
CRD#: 149017
Topeka, KS
Past
June 21, 2019 - March 10, 2025
WORLD EQUITY GROUP, INC.
BD
CRD#: 29087
Topeka, KS
Past
August 25, 2014 - June 20, 2019
TAYLOR CAPITAL MANAGEMENT INC.
BD
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.
BD
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
BD
CRD#: 103857
ADA, MI
Past
May 22, 2001 - February 11, 2003
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
PETALUMA, CA
Past
February 17, 2000 - May 17, 2001
WORLD SECURITIES, INC.
BD
CRD#: 39431
JOPLIN, MO
Past
September 4, 1998 - February 9, 2000
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
May 16, 1997 - September 8, 1998
CETERA WEALTH SERVICES, LLC
BD
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".
NG
NEXT GENERATION INVESTING, LLC
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)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
NG
NEXT GENERATION INVESTING, LLC
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)Upgrade to AdvisorCheck Premium
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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
3
SEC notice filing (2 States and Territories)
Documents
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
