Roger M. Budd

ROGER BUDD INVESTMENT MANAGEMENT

Saint Simons Island, GA

Some features on this profile are disabled

CRD#: 6133211

Professional summary

Roger Mccartney Budd III, who also goes by Roger Mccartney Budd, Roger Budd, is a registered financial advisor currently at ROGER BUDD INVESTMENT MANAGEMENT, LLC located in Saint Simons Island, Georgia.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Roger has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roger Mccartney Budd | Roger Budd

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)BUDD FAMILY LIMITED PARTNERSHIP. VALDOSTA, GA. INVESTMENT RELATED. STARTED:1997. PRESIDENT. FAMILY REAL ESTATE INVESTMENTS. 1 HR PER MONTH, 0 DURING TRADING HRS. 2)GOLDEN ISLES CAPTIVE INSURANCE INC., INVESTMENT RELATED, SAINT SIMON ISLAND GA, GROUP INSURANCE; DIRECTOR; 01/2014, 2 HRS PER MONTH 1 HR DURING TRADING HOURS, ATTEND ANNUAL MEETING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Mccartney Budd III'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®

None

Experience

Current

April 18, 2023 - Present

ROGER BUDD INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 298525

Saint Simons Island, GA

Past

October 9, 2018 - December 31, 2022

ROGER BUDD INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 298525

SAINT SIMONS ISLAND, GA

Past

February 14, 2017 - October 9, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

ST. SIMONS ISLAND, GA

Past

December 8, 2016 - October 9, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. SIMONS ISLAND, GA

Past

January 22, 2013 - March 24, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ATLANTA, GA

Past

December 22, 2012 - March 24, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ATLANTA, GA

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

Georgia
(4/18/2023)

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: 1/18/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/2012

General Securities Representative Examination

Current Firm

ROGER BUDD INVESTMENT MANAGEMENT, LLC

CRD#: 298525 / SEC#:

Georgia

Registered Investment Advisory firm - (4/18/2023 Approved)

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

Saint Simons Island, GA

Mailing Address

Phone number

(229) 630-1772

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roger M. Budd

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Mccartney Budd III's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROGER BUDD INVESTMENT MANAGEMENT, LLC

ROGER BUDD INVESTMENT MANAGEMENT, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 1/18/2013

SIE

Date: 10/1/2018

Series 7

Date: 12/21/2012

Current Firm

ROGER BUDD INVESTMENT MANAGEMENT, LLC

Contact information

Documents

Red Flags

Company Information

ROGER BUDD INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors