Roger S. Stinnett

FIRST FOUNDATION ADVISORS

IRVINE, CA 92612

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CRD#: 4564202

Professional summary

Roger Sanford Stinnett II, CFP®, CIMA® is a registered financial advisor currently at FIRST FOUNDATION ADVISORS located in Irvine, California.

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 65 exam.

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.

ROGER S. STINNETT II IS THE MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER OF STINNETT WEALTH PLANNING, LLC SINCE MARCH 2024. MR. STINNETT WILL NO LONGER ACCEPT CLIENTS OR EARN FEES FROM STINNETT WEALTH PLANNING, LLC WHILE EMPLOYED BY FIRST FOUNDATION ADVISORS. MR. STINNETT WILL DEVOTE APPPROXIMATELY ONE HOUR PER MONTH TO THIS BUSINESS AND NO HOURS DURING TRADING HOURS. STINNETT WEALTH PLANNING, LLC, AN INVESTMENT RELATED BUSINESS, PROVIDES CLIENTS WITH ADVICE ON KEY FINANCIAL PLANNING TOPICS AND IS LOCATED AT 700 CATALINA AVENUE, SEAL BEACH, CA 90740.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Sanford Stinnett II'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®

CFP^®

Certified Financial Planner

Start date: 1997

CIMA^®

Certified Investment Management Analyst

Experience

Current

April 3, 2025 - Present

FIRST FOUNDATION ADVISORS

Office #1: 18101 Von Karman Avenue Ste 700, Irvine, CA 92612

RIA

CRD#: 106075

IRVINE, CA

Past

April 3, 2024 - May 15, 2025

STINNETT WEALTH PLANNING, LLC

RIA

CRD#: 329922

SEAL BEACH, CA

Past

September 26, 2018 - March 28, 2024

FIRST FOUNDATION ADVISORS

RIA

CRD#: 106075

IRVINE, CA

Past

June 28, 2016 - September 24, 2018

WESTMOUNT PARTNERS, LLC

RIA

CRD#: 158857

Los Angeles, CA

Past

July 19, 2002 - January 9, 2006

ERNST & YOUNG INVESTMENT ADVISERS LLP

RIA

CRD#: 110921

LOS ANGELES, CA

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".

FIRST FOUNDATION ADVISORS

FIRST FOUNDATION ADVISORS | THE KELLER GROUP INVESTMENT MANAGEMENT, INC | FIRST FOUNDATION INVESTMENT MANAGEMENT

CRD#: 106075 / SEC#: 801-35973

RIA

Registered Investment Advisory firm - (2/28/1990 Approved)

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

California
(4/3/2025)

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: 7/8/2002

Uniform Investment Adviser Law Examination

Current Firm

FIRST FOUNDATION ADVISORS

FIRST FOUNDATION ADVISORS | THE KELLER GROUP INVESTMENT MANAGEMENT, INC | FIRST FOUNDATION INVESTMENT MANAGEMENT

CRD#: 106075 / SEC#: 801-35973

RIA

Registered Investment Advisory firm - (2/28/1990 Approved)

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Contact information

Main Address

18101 Von Karman Ave Suite 700, Irvine, CA 92612-1051

Mailing Address

Phone number

(949) 476-0300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRST FOUNDATION ADVISORS BROCHURE (6/16/2025)

Regulatory assets under management

Total Number of Accounts	3,945
AUM (Assets Under Management)	$ 5,445,880,088

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/26/2025	Cover Page	Report
12/04/2024	Cover Page	Report
09/27/2024	Cover Page	Report
08/30/2023	Cover Page	Report
02/28/2023	Cover Page	Report

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 S. Stinnett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Sanford Stinnett II's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST FOUNDATION ADVISORS

STINNETT WEALTH PLANNING, LLC

FIRST FOUNDATION ADVISORS

WESTMOUNT PARTNERS, LLC

ERNST & YOUNG INVESTMENT ADVISERS LLP

Primary Firm SEC Registration

FIRST FOUNDATION ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 7/8/2002

Current Firm

FIRST FOUNDATION ADVISORS

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FIRST FOUNDATION ADVISORS

TRUST BUT VERIFY

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