RT
Roger P. Tennyson
GRADIENT SECURITIES
Lansing, MI 48917
Some features on this profile are disabled
CRD#: 4980812
RT
Professional summary
Roger P Tennyson, CFP® is a registered financial advisor currently at GRADIENT SECURITIES, LLC located in Lansing, Michigan.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Roger has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
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.
1) DBA TENNYSON INSURANCE SOLUTIONS; INVT REL; 895 DOVE ST, SUITE 300, NEWPORT BEACH, CA 92660; INSURANCE; INSURANCE AGENT; START 03/2018; 50 HRS/MO; 50 HRS/MO DURING TRADING; DBA FOR INSURANCE SALES. 2) MARTIN FINANCIAL SERVICES, LLC; INVT REL; 14 KINGBIRD LANE, HILTON HEAD< SC 29928; ACCOUNTING; MANAGING MEMBER; START 10/2014; 5 HRS/MO; 5 HRS/MO DURING TRADING; ENTITY FOR ACCOUNTING PURPOSES. 3) DBA TENNYSON WEALTH MANAGEMENT; INVT REL; 895 DOVE ST, SUITE 300, NEWPORT BEACH, CA 92660; SECURITIES/ADVISORY SERVICES; REGISTERED REPRESENTATIVE/INVESTMENT ADVISOR REPRESENTATIVE; START 03/2018; 100 HRS/MO; 100 HRS/MO DURING TRADING; DBA FOR SECURITIES AND ADVISORY SERVICES. 4) LUPINE VACATION RENTALS, LLC; INVESTMENT RELATED; 895 DOVE ST, SUITE 300, NEWPORT BEACH, CA 92660; AIR BNB RENTALS; PART-OWNER; START 12/2022; 9 HOURS PER MONTH; 9 HOURS DURING SECURITIES TRADING HOURS; WORK TO APPROVE REPAIRS AND PAY FOR THEM.
CRS (Client Relationship Summary) - RIA
Click below to view Roger P Tennyson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roger P Tennyson'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®
CFP®
Start date: 2011
Experience
Current
February 26, 2015 - Present
GRADIENT SECURITIES, LLC
Office #1: 912 Centennial Way Suite 340, Lansing, MI 48917Office #2: 895 Dove St Suite 300, Newport Beach, CA 92660RIA
BD
CRD#: 127701
Lansing, MI
Current
October 1, 2014 - Present
GRADIENT SECURITIES, LLC
Office #1: 912 Centennial Way Suite 340, Lansing, MI 48917Office #2: 895 Dove St Suite 300, Newport Beach, CA 92660RIA
BD
CRD#: 127701
Lansing, MI
Past
October 2, 2014 - February 24, 2015
GRADIENT ADVISORS, LLC
RIA
CRD#: 152665
HILTON HEAD ISLAND, SC
Past
May 8, 2014 - October 16, 2014
WSG ADVISORS, LLC
RIA
CRD#: 148319
HILTON HEAD, SC
Past
July 19, 2006 - April 30, 2014
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SAVANNAH, GA
Past
August 10, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
August 10, 2005 - April 30, 2014
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SAVANNAH, GA
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".
GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT
CRD#: 127701 / SEC#: 801-80807, 8-66032
RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Arizona(6/30/2021)
RR
Arizona(9/20/2021)
RR
California(1/5/2015)
IAR
California(1/22/2018)
RR
Colorado(9/20/2021)
RR
Florida(1/19/2015)
IAR
Florida(3/2/2015)
RR
Georgia(7/20/2021)
RR
Indiana(11/20/2014)
IAR
Indiana(2/26/2015)
IAR
Missouri(4/1/2024)
RR
New York(1/7/2015)
IAR
New York(6/30/2021)
IAR
Ohio(3/19/2024)
RR
Ohio(8/28/2025)
RR
Oregon(5/13/2016)
IAR
Oregon(5/13/2016)
RR
South Carolina(10/2/2014)
IAR
South Carolina(2/27/2015)
RR
Texas(7/10/2023)
IAR
Texas(9/18/2025)
IAR
Virginia(5/11/2023)
IAR
Washington(3/23/2021)
RR
Wisconsin(4/23/2021)
IAR
Wisconsin(4/23/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT
CRD#: 127701 / SEC#: 801-80807, 8-66032
RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Mailing Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Phone number
(866) 991-1539
Established
Delaware since 04/09/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
62
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 1 |
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.
