Roger P Welshans | Financial Professional | Missoula, Montana

Professional summary

Roger P Welshans is a registered financial advisor currently at CORECAP ADVISORS located in Missoula, Montana and CORECAP INVESTMENTS, LLC located in Southfield, Michigan.

Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Roger has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 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.

Cornerstone Financial Services; Senior Partner; Insurance & Annuity Sales; Approx. 40 hours per week; Approx. 40 hours per week during trading hours; Similar clientele

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger P Welshans'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

June 20, 2016 - Present

CORECAP ADVISORS

Office #1: 6125 Marias Street, Missoula, MT 59803

RIA

CRD#: 158819

Missoula, MT

Current

June 20, 2016 - Present

CORECAP INVESTMENTS, LLC

Office #1: 24359 Northwestern Highway Suite 225, Southfield, MI 48075

BD

CRD#: 37068

Southfield, MI

Past

October 30, 2008 - June 29, 2016

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

MISSOULA, MT

Past

October 29, 2008 - June 29, 2016

RBC CAPITAL MARKETS, LLC

BD

CRD#: 31194

MISSOULA, MT

Past

July 26, 2005 - November 12, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

MISSOULA, MT

Past

April 28, 2005 - November 12, 2008

CITIGROUP GLOBAL MARKETS INC.

BD

CRD#: 7059

MISSOULA, MT

Past

December 15, 1997 - May 12, 2005

UBS FINANCIAL SERVICES INC.

BD

CRD#: 8174

WEEHAWKEN, NJ

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".

CA

CORECAP ADVISORS

CRD#: 158819 / SEC#: 801-72687

RIA

Registered Investment Advisory firm - (8/30/2011 Approved)

Illinois

Registered Investment Advisory firm - (6/21/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

Alabama
(1/13/2021)

IAR

Alabama
(7/20/2021)

RR

Arizona
(6/20/2016)

IAR

Arizona
(7/11/2016)

RR

California
(6/20/2016)

IAR

California
(6/20/2016)

RR

Florida
(6/20/2016)

IAR

Florida
(8/27/2021)

RR

Michigan
(6/20/2016)

IAR

Michigan
(6/22/2016)

IAR

Minnesota
(6/27/2016)

RR

Minnesota
(7/12/2016)

RR

Montana
(6/20/2016)

IAR

Montana
(6/21/2016)

RR

Nevada
(4/14/2021)

IAR

Nevada
(4/23/2021)

RR

Oregon
(4/5/2018)

IAR

Oregon
(6/6/2018)

IAR

Pennsylvania
(6/22/2016)

RR

Pennsylvania
(7/19/2021)

RR

Texas
(6/20/2016)

IAR

Texas
(6/20/2016)

RR

Utah
(11/8/2016)

RR

Washington
(8/14/2018)

IAR

Washington
(8/17/2018)

IAR

Wisconsin
(4/9/2018)

RR

Wisconsin
(4/19/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/18/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 12/16/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 12/9/1997

General Securities Representative Examination

SRO Registrations

RR

FINRA

Current Firm

CA

CORECAP ADVISORS

CRD#: 158819 / SEC#: 801-72687

RIA

Registered Investment Advisory firm - (8/30/2011 Approved)

Illinois

Registered Investment Advisory firm - (6/21/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

27777 Franklin Road Suite 700, Southfield, MI 48034

Mailing Address

Phone number

(888) 296-3360

Established

Firm type

Fiscal year end

# of Employees

111

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CCA FORM ADV PART 2A MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	9,157
AUM (Assets Under Management)	$ 3,167,350,865

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 P. Welshans

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger P Welshans's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORECAP INVESTMENTS, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CORECAP ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/1997

Series 63

Date: 12/16/1997

SIE

Date: 10/1/2018

Series 7

Date: 12/9/1997

FINRA

Current Firm

CORECAP ADVISORS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORECAP ADVISORS

TRUST BUT VERIFY

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