Roger Allan Potter
Professional Summary
Roger Allan Potter, who also goes by Roger Allen Potter, is a registered financial advisor currently at BALANCED WEALTH GROUP LLC located in Westlake, Ohio. Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Roger has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Retirement Planning
- Social Security & Medicare Planning
Specializations
Other Aliases
Roger Allen Potter
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
linkedin.com/in/xxxxxx
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
BALANCED WEALTH GROUP LLC
Contact Information
Main Address
1991 Crocker Road Suite 300, Westlake, OH 44145Phone Number
(440) 871-6501# of Employees
12SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,588AUM (Assets Under Management)
$494,073,639Similar Advisors
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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.
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Primary Firm SEC Registration
BALANCED WEALTH GROUP LLC
State Registrations and Notice Filings
(11/2/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Aug 2012About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Roger Allan Potter's CRS (Customer Relationship Summary).
Services Offered by Roger
- Retirement Planning
- Social Security & Medicare Planning
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