Roger J. Klauer

THE CAPROCK GROUP

Winter Park, FL

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CRD#: 4862184

Professional summary

Roger J Klauer, who also goes by Roger Klauer, is a registered financial advisor currently at THE CAPROCK GROUP, LLC located in Winter Park, Florida.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Roger has worked at 5 firms and has passed the Series 65, Series 66, SIE, Series 3, Series 7 and Series 56 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roger Klauer

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.

KS Partners, LLC; Start Date: 10/2020; 5 hrs/month (5 hrs/month during trading hours); Bloomfield Hills, MI; Partner; consulting services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger J Klauer'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®

None

Experience

Current

May 18, 2024 - Present

THE CAPROCK GROUP, LLC

RIA

CRD#: 124272

Winter Park, FL

Past

September 5, 2021 - April 23, 2024

GREY STREET CAPITAL, LLC

RIA

CRD#: 286671

Winter Park, FL

Past

March 3, 2017 - July 9, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BLOOMFIELD HILLS, MI

Past

March 3, 2017 - July 9, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BLOOMFIELD HILLS, MI

Past

November 27, 2012 - March 7, 2017

MORGAN STANLEY

RIA

CRD#: 149777

TROY, MI

Past

October 23, 2012 - March 7, 2017

MORGAN STANLEY

CRD#: 149777

TROY, MI

Past

May 9, 2012 - October 1, 2012

HRT EXECUTION SERVICES LLC

CRD#: 128491

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".

THE CAPROCK GROUP, LLC

CRD#: 124272 / SEC#: 801-61642

RIA

Registered Investment Advisory firm - (12/17/2002 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

Florida
(5/18/2024)

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: 8/11/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/21/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/25/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/22/2012

General Securities Representative Examination

General Industry/Product Exam

Series 56

Date: 5/8/2012

Proprietary Trader Qualification Examination

Current Firm

THE CAPROCK GROUP, LLC

CRD#: 124272 / SEC#: 801-61642

RIA

Registered Investment Advisory firm - (12/17/2002 Approved)

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Contact information

Main Address

800 West Main Street Suite 1150, Boise, ID 83702

Mailing Address

Phone number

(208) 368-9600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE CAPROCK GROUP, INC. FORM ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	408
AUM (Assets Under Management)	$ 10,149,325,042

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/17/2025	Cover Page	Report
01/28/2025	Cover Page	Report
10/26/2023	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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Firm Stability Insights

Roger J. Klauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger J Klauer's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREY STREET CAPITAL, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

HRT EXECUTION SERVICES LLC

Primary Firm SEC Registration

THE CAPROCK GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/11/2021

Series 66

Date: 11/21/2012

SIE

Date: 7/9/2018

Series 3

Date: 11/25/2013

Series 7

Date: 10/22/2012

Series 56

Date: 5/8/2012

Current Firm

THE CAPROCK GROUP, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE CAPROCK GROUP, LLC

TRUST BUT VERIFY

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