Roger Beutler

Some features on this profile are disabled

CRD#: 4262372

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 Beutler was a registered financial professional .

Roger is a previously registered financial professional and started their career in finance in 2000. Roger had worked at 5 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 17, 2024 - September 2, 2025

HERITAGE FAMILY OFFICES, LLP

RIA

CRD#: 323930

SCOTTSDALE, AZ

Past

February 3, 2023 - December 31, 2023

HERITAGE FAMILY OFFICES, LLP

RIA

CRD#: 323930

PHOENIX, AZ

Past

February 2, 2021 - March 5, 2024

HERITAGE WEALTH MANAGEMENT, LLC

RIA

CRD#: 287909

PHOENIX, AZ

Past

August 8, 2006 - April 2, 2007

SAGGEZZA INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 140311

SAN DIEGO, CA

Past

January 26, 2005 - August 28, 2007

DUNHAM

RIA

CRD#: 13162

SAN DIEGO, CA

Past

January 1, 2005 - August 28, 2007

DUNHAM

CRD#: 13162

SAN DIEGO, CA

Past

November 7, 2000 - March 1, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

HERITAGE FAMILY OFFICES, LLP

CRD#: 323930 / SEC#: 801-126899

RIA

Registered Investment Advisory firm - (11/18/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/11/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/25/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/27/2004

General Securities Representative Examination

Current Firm

HERITAGE FAMILY OFFICES, LLP

CRD#: 323930 / SEC#: 801-126899

RIA

Registered Investment Advisory firm - (11/18/2022 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

9841 E Bell Rd Suite 110, Scottsdale, AZ 85260

Mailing Address

Phone number

(602) 775-5400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ANNUAL AMENDMENT BROCHURE (6/10/2025)

Regulatory assets under management

Total Number of Accounts	831
AUM (Assets Under Management)	$ 408,105,385

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roger Beutler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HERITAGE FAMILY OFFICES, LLP

HERITAGE WEALTH MANAGEMENT, LLC

SAGGEZZA INVESTMENT MANAGEMENT, LLC

DUNHAM

DUNHAM

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

HERITAGE FAMILY OFFICES, LLP

State Registrations and Notice Filings

Exams

Series 65

Date: 11/11/2020

Series 66

Date: 1/25/2005

Series 7

Date: 12/27/2004

Current Firm

HERITAGE FAMILY OFFICES, LLP

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HERITAGE FAMILY OFFICES, LLP

TRUST BUT VERIFY

Similar Advisors