Roger H. Green
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 Henry Green was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1999. Roger had worked at 10 firms and has passed the Series 66, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2016 - October 12, 2016
KESTRA ADVISORY SERVICES, LLC
February 4, 2008 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
February 4, 2008 - October 12, 2016
KESTRA INVESTMENT SERVICES, LLC
April 25, 2006 - January 17, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 22, 2005 - January 17, 2008
TD AMERITRADE, INC.
July 22, 2005 - January 17, 2008
TD AMERITRADE, INC.
November 18, 2003 - July 20, 2005
M.L. STERN & CO., LLC.
November 18, 2003 - July 20, 2005
M.L. STERN & CO., LLC.
July 17, 2003 - November 8, 2003
MML INVESTORS SERVICES, LLC
June 12, 2003 - November 8, 2003
MML INVESTORS SERVICES, LLC
June 18, 2002 - July 16, 2003
E*TRADE ADVISORY SERVICES, INC.
April 26, 2000 - July 16, 2003
E*TRADE SECURITIES LLC
July 13, 1999 - February 29, 2000
M.L. STERN & CO., LLC.
February 11, 1999 - May 24, 1999
IDS LIFE INSURANCE COMPANY
February 11, 1999 - May 24, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
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.
