Roger A. Lingle

GUARDIAN WEALTH ADVISORS

RALEIGH, NC

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CRD#: 5439558

Professional summary

Roger Allen Lingle is a registered financial advisor currently at GUARDIAN WEALTH ADVISORS, LLC located in Raleigh, North Carolina.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Roger has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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) VARIOUS FIRMS. NOT INVESTMENT RELATED. RALEIGH, NC. LICENSED REPRESENTATIVE; 01/2014; APPROXIMATELY 5% OF TIME; LICENSED WITH VARIOUS INSURANCE COMPANIES FOR THE SALE OF THEIR PRODUCT. (2) LIMELIGHT INTELLIGENCE. NOT INVESTMENT RELATED. RALEIGH, NC. OWNER; 02/2019; APPROXIMATELY 2% OF TIME. OVERSIGHT AND GUIDANCE TO THE FOUNDER OF A SOFTWARE STARTUP.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Allen Lingle'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

April 16, 2020 - Present

GUARDIAN WEALTH ADVISORS, LLC

RIA

CRD#: 305412

RALEIGH, NC

Past

July 20, 2017 - April 13, 2020

ANTHEM WEALTH MANAGEMENT, LLC

RIA

CRD#: 288467

RALEIGH, NC

Past

January 10, 2014 - July 11, 2017

BROAD REACH CAPITAL LLC

RIA

CRD#: 144686

DURHAM, NC

Past

January 9, 2014 - July 11, 2017

QUANTUM CAPITAL, LLC

CRD#: 143530

DURHAM, NC

Past

January 8, 2008 - December 31, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

RALEIGH, NC

Past

December 5, 2007 - December 31, 2013

LPL FINANCIAL LLC

CRD#: 6413

RALEIGH, NC

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".

GUARDIAN WEALTH ADVISORS, LLC

CRD#: 305412 / SEC#: 801-118121

RIA

Registered Investment Advisory firm - (2/24/2020 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

North Carolina
(4/16/2020)

IAR

Texas
(4/28/2022)

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 66

Date: 1/3/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/26/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/11/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/4/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/14/2016

General Securities Principal Examination

Current Firm

GUARDIAN WEALTH ADVISORS, LLC

CRD#: 305412 / SEC#: 801-118121

RIA

Registered Investment Advisory firm - (2/24/2020 Approved)

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Contact information

Main Address

4270 The Circle At North Hills Street Suite 200, Raleigh, NC 27609

Mailing Address

Phone number

(919) 874-1900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GWA FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,683
AUM (Assets Under Management)	$ 2,051,517,525

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 A. Lingle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Allen Lingle's CRS (Customer Relationship Summary).

Certified licenses

Experience

ANTHEM WEALTH MANAGEMENT, LLC

BROAD REACH CAPITAL LLC

QUANTUM CAPITAL, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

GUARDIAN WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/3/2008

Series 63

Date: 11/26/2007

SIE

Date: 7/11/2017

Series 7

Date: 12/4/2007

Series 24

Date: 3/14/2016

Current Firm

GUARDIAN WEALTH ADVISORS, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUARDIAN WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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