Roz L. Paige
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roz Leann Paige, who also goes by Roz L Ford, Roz Leann Ford, Rozlyn Leann Ford, Roz L Massey, Roz Leann Massey, Roz L Paige, Roz Leanne Paige, Roz Paige, Roz Leann Paige, was a registered financial professional .
Roz is a previously registered financial professional and started their career in finance in 2005. Roz had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
Western Governors University
Bachelor of Business Administration - Finance
Experience
March 31, 2025 - April 23, 2026
STRATEGIC ADVISERS LLC
May 10, 2021 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 29, 2021 - April 23, 2026
FIDELITY BROKERAGE SERVICES LLC
February 20, 2019 - March 11, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 20, 2019 - March 11, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 20, 2017 - February 12, 2019
CHARLES SCHWAB & CO., INC.
June 13, 2017 - February 12, 2019
CHARLES SCHWAB & CO., INC.
August 2, 2016 - December 31, 2016
PFS INVESTMENTS INC.
August 1, 2016 - December 31, 2016
PFS INVESTMENTS INC.
April 8, 2014 - August 1, 2014
PNC WEALTH MANAGEMENT LLC
April 8, 2014 - August 1, 2014
PNC WEALTH MANAGEMENT LLC
November 9, 2012 - February 27, 2014
U.S. BANCORP INVESTMENTS, INC.
July 10, 2012 - February 27, 2014
U.S. BANCORP INVESTMENTS, INC.
July 6, 2010 - February 9, 2011
EDWARD JONES
August 15, 2007 - June 24, 2010
MSI FINANCIAL SERVICES, INC.
September 14, 2005 - July 18, 2007
CHASE INVESTMENT SERVICES CORP.
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
