Roger F. Woodman Jr.

ROGER F. WOODMAN JR. & CO.

PORTLAND, ME

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CRD#: 4527885

Professional summary

Roger Foster Woodman Jr. MR., who also goes by Roger Foster Woodman Jr., is a registered financial advisor currently at ROGER F. WOODMAN JR. & CO. located in Portland, Maine.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Roger has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roger Foster Woodman Jr.

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.

MR. WOODMAN IS NOT ACTIVELY ENGAGED IN ANY BUSINESS OR OCCUPATION FOR COMPENSATION OTHER THAN HIS WORK FOR ROGER F. WOODMAN, JR. & CO. (THE "COMPANY"). IN ADDITION TO THE BUSINESS OF INVESTMENT ADVICE, THE COMPANY IS ENGAGED IN THE RELATED FIELD OF ESTATE MANAGEMENT AND TRUSTEE SERVICES, WHICH ARE PROVIDED UNDER THE COMPANY'S NAME AND ADDRESS (144 VAUGHAN ST., PORTLAND, ME 04102). MR. WOODMAN'S POSITION WITH THE COMPANY IS PRESIDENT AND SOLE EMPLOYEE. THE COMPANY AND MR. WOODMAN HAVE BEEN ENGAGED IN THE ESTATE MANAGEMENT AND TRUSTEE SERVICES BUSINESS IN THE COMPANY NAME SINCE APPROXIMATELY 2001. THE COMPANY SPENDS APPROXIMATELY 5% OF ITS TIME (OR APPROXIMATELY 2 HOURS PER WEEK DURING TRADING HOURS) ON THIS BUSINESS, WHICH IS INVESTMENT-RELATED, ALTHOUGH THE PERCENTAGE AND HOURS MAY INCREASE OR DECREASE DEPENDING ON THE NEEDS OF THE COMPANY'S CURRENT CLIENTS. MR. WOODMAN'S ESTATE MANAGEMENT AND TRUSTEE SERVICES DUTIES FOR THE COMPANY INCLUDE, BUT ARE NOT LIMITED TO: BILL PAYMENT, TAX ADMINISTRATION, ADMINISTRATION OF CHARITABLE AND NON-CHARITABLE GIFTS AND PLEDGES, PROCUREMENT OF INSURANCE, ADMINISTRATION OF HEALTH/MEDICAL EXPENSES AND ADMINISTRATION OF EDUCATION EXPENSES/TUITION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Foster Woodman Jr. MR.'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®

None

Experience

Current

January 21, 2004 - Present

ROGER F. WOODMAN JR. & CO.

RIA

CRD#: 119778

PORTLAND, ME

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

Maine
(1/21/2004)

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: 6/28/2001

Uniform Investment Adviser Law Examination

Current Firm

ROGER F. WOODMAN JR. & CO.

ROGER F. WOODMAN JR. & CO. | ROGER F. WOODMAN, JR. & CO.

CRD#: 119778 / SEC#:

Maine

Registered Investment Advisory firm - (1/24/2002 Approved)

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Contact information

Main Address

Portland, ME

Mailing Address

Phone number

(207) 233-2273

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 3,195,590

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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Roger F. Woodman Jr.

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Foster Woodman Jr. MR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

ROGER F. WOODMAN JR. & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/28/2001

Current Firm

ROGER F. WOODMAN JR. & CO.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROGER F. WOODMAN JR. & CO.

TRUST BUT VERIFY

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