HR
H T. Roggen
ONESEVEN
Houston, TX 77027
Some features on this profile are disabled
CRD#: 721463
HR
Professional summary
H Todd Roggen, who also goes by T Todd Roggen, Todd Roggen, is a registered financial advisor currently at ONESEVEN located in Houston, Texas.
H is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. H has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
T Todd Roggen | Todd Roggen
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)Name of Business: Blue Cross Blue Shield of Texas Address: 550 Post Oak Blvd Ste 410, Houston, TX, 77027, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 01/01/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Agent for purposes of writing HTR Wealth Management (support company) Group Health Insurance Policy. FA Arthur Brand and I will split commissions received from BCBS TX in relation to the group policy. (2)Name of Business: HTR Wealth Management Address: 550 Post Oak Blvd Ste 410, Houston, TX, 77027, United States Activity Type: Support Company - Owner Position/Title: Independent Contractor Investment Related: Yes Start Date: 03/05/2014 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: ICD FOR RJFS (3)Name of Business: L ROGGEN TRAVEL Address: 2137 BANCROFT, HOUSTON, TX, 77027, United States Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 01/20/2024 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: FINANCING THE BUSINESS AND MAYBE ADMINISTRATIVE (4)Name of Business: Nationwide Address: 550 Post Oak Blvd Ste 410, Houston, TX, 77027, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 01/16/2014 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: The occasional unsolicited client request comes in for fixed insurance business (5)Name of Business: UNITED HEALTH CARE Address: 550 Post Oak Blvd Ste 410, Houston, TX, 77027-9410, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 04/28/2024 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Agent for purposes of writing a medicare policy on himself
CRS (Client Relationship Summary) - RIA
Click below to view H Todd Roggen'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®
NoneExperience
Current
November 4, 2024 - Present
ONESEVEN
Office #1: 550 Post Oak Blvd Suite 390, Houston, TX 77027RIA
CRD#: 283087
Houston, TX
Past
July 16, 2010 - November 1, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
HOUSTON, TX
Past
June 23, 2010 - November 1, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
HOUSTON, TX
Past
January 19, 2001 - June 16, 2010
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
January 19, 2001 - June 16, 2010
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 14, 1992 - January 31, 2001
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
December 10, 1986 - July 7, 1992
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
February 10, 1984 - December 2, 1986
COWEN SECURITIES INC.
BD
CRD#: 8531
Past
January 19, 1983 - February 9, 1984
FINANCIAL SQUARE PARTNERS
BD
CRD#: 1541
Past
December 22, 1980 - February 2, 1983
ROTAN MOSLE INC.
BD
CRD#: 727
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".
ON
ONESEVEN
AIM WEALTH MANAGEMENT GROUP, LLC | WOLFE WEALTH MANAGEMENT | WEALTHCREATE FINANCIAL | WEALTH SOLUTIONS | WEALTH PLANNING AND DESIGN | WE ARE ONE SEVEN, LLC | VALENTINE WEALTH ADVISORS | THE JAICKS GROUP | THE FULSHEAR WEALTH MANAGEMENT GROUP | TCWP LLC | STUDEMONT GROUP, LP | STRUCTURE WEALTH MANAGEMENT, LLC | STRUCTURE WEALTH MANAGEMENT | STRATOS INVESTMENTS OF ONESEVEN | STONE CREEK ADVISORS, LLC | STEADFAST WEALTH STRATEGIES | SHINTANI WEALTH MANAGEMENT SERVICES | S3 RETIREMENT PLANNING | ROSEHAVEN FAMILY OFFICE | ROMERO WEALTH MANAGEMENT | RISE CAPITAL | RETIREMENT PLANNING SOLUTIONS BY THE JAICKS GROUP | RESOLUTE WEALTH MANAGEMENT | REFLECTIONS LIFE INVESTMENTS LLC | REFLECTIONS LIFE INVESTMENTS | R J CAMPBELL INVESTMENTS, LLC | PONDERA WEALTH | PILLAR WEALTH GROUP, LLC | PARK CITY WEALTH ADVISORS | PALM COAST WEALTH MANAGEMENT | PACELINE ADVISORS LLC | ONESEVEN | ONE SEVEN | NORTH MOUNTAIN WEALTH MANAGEMENT, LLC | MOSKAL GROSS ORCHOSKY | MGO ONE SEVEN LLC | MGO ONE SEVEN | MGO INVESTMENT ADVISORS, INC. | MGO ADVISORS | MGO | MG ADVISORS | MCCONNELL FINANCIAL | MB WEALTH MANAGEMENT GROUP, LLC (ALSO REFERRED TO AS "MB GROUP" AND "MAWBY BRIGEMAN WEALTH MANAGEMENT GROUP") | MARTZ FINANCIAL | MAGNETIC NORTH FINANCIAL | LIFE TRANSITIONS PLANNING, LLC | LATTICE WEALTH MANAGEMENT | LAKE HOUSE PRIVATE WEALTH MANAGEMENT, INC | JTM WILLIAMS CAPITAL MANAGEMENT | JRP CAPITAL | JP INVESTMENTS LLC | J WELLINGTON FINANCIAL | IRONCLAD WEALTH MANAGEMENT, LLC | HYPERION WEALTH GROUP | HTR WEALTH MANAGEMENT | HOPE FINANCIAL GROUP, LLC | HEMLOCK WEALTH MANAGEMENT | FELDMEYER FINANCIAL GROUP | EVERGLADES PARKLAND ADVISORS, LLC | DWT WEALTH | CREATED WEALTH ADVISORY | COMMUNITY FINANCIAL ADVISORS INC. | CLIENTFIRST FINANCIAL STRATEGIES, INC | CHEN WEALTH SERVICES LLC | CAREY DITTOE WEALTH MANAGEMENT | CALLAHAN FINANCIAL | BRITTISON FINANCIAL GROUP, INC. | ALTA VERA
CRD#: 283087 / SEC#: 801-107829
RIA
Registered Investment Advisory firm - (5/16/2016 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
Texas(11/4/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 5/22/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
ON
ONESEVEN
AIM WEALTH MANAGEMENT GROUP, LLC | WOLFE WEALTH MANAGEMENT | WEALTHCREATE FINANCIAL | WEALTH SOLUTIONS | WEALTH PLANNING AND DESIGN | WE ARE ONE SEVEN, LLC | VALENTINE WEALTH ADVISORS | THE JAICKS GROUP | THE FULSHEAR WEALTH MANAGEMENT GROUP | TCWP LLC | STUDEMONT GROUP, LP | STRUCTURE WEALTH MANAGEMENT, LLC | STRUCTURE WEALTH MANAGEMENT | STRATOS INVESTMENTS OF ONESEVEN | STONE CREEK ADVISORS, LLC | STEADFAST WEALTH STRATEGIES | SHINTANI WEALTH MANAGEMENT SERVICES | S3 RETIREMENT PLANNING | ROSEHAVEN FAMILY OFFICE | ROMERO WEALTH MANAGEMENT | RISE CAPITAL | RETIREMENT PLANNING SOLUTIONS BY THE JAICKS GROUP | RESOLUTE WEALTH MANAGEMENT | REFLECTIONS LIFE INVESTMENTS LLC | REFLECTIONS LIFE INVESTMENTS | R J CAMPBELL INVESTMENTS, LLC | PONDERA WEALTH | PILLAR WEALTH GROUP, LLC | PARK CITY WEALTH ADVISORS | PALM COAST WEALTH MANAGEMENT | PACELINE ADVISORS LLC | ONESEVEN | ONE SEVEN | NORTH MOUNTAIN WEALTH MANAGEMENT, LLC | MOSKAL GROSS ORCHOSKY | MGO ONE SEVEN LLC | MGO ONE SEVEN | MGO INVESTMENT ADVISORS, INC. | MGO ADVISORS | MGO | MG ADVISORS | MCCONNELL FINANCIAL | MB WEALTH MANAGEMENT GROUP, LLC (ALSO REFERRED TO AS "MB GROUP" AND "MAWBY BRIGEMAN WEALTH MANAGEMENT GROUP") | MARTZ FINANCIAL | MAGNETIC NORTH FINANCIAL | LIFE TRANSITIONS PLANNING, LLC | LATTICE WEALTH MANAGEMENT | LAKE HOUSE PRIVATE WEALTH MANAGEMENT, INC | JTM WILLIAMS CAPITAL MANAGEMENT | JRP CAPITAL | JP INVESTMENTS LLC | J WELLINGTON FINANCIAL | IRONCLAD WEALTH MANAGEMENT, LLC | HYPERION WEALTH GROUP | HTR WEALTH MANAGEMENT | HOPE FINANCIAL GROUP, LLC | HEMLOCK WEALTH MANAGEMENT | FELDMEYER FINANCIAL GROUP | EVERGLADES PARKLAND ADVISORS, LLC | DWT WEALTH | CREATED WEALTH ADVISORY | COMMUNITY FINANCIAL ADVISORS INC. | CLIENTFIRST FINANCIAL STRATEGIES, INC | CHEN WEALTH SERVICES LLC | CAREY DITTOE WEALTH MANAGEMENT | CALLAHAN FINANCIAL | BRITTISON FINANCIAL GROUP, INC. | ALTA VERA
CRD#: 283087 / SEC#: 801-107829
RIA
Registered Investment Advisory firm - (5/16/2016 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
24400 Chagrin Blvd. Suite 310, Beachwood, OH 44122
Mailing Address
Phone number
(216) 865-1700
Established
Firm type
Fiscal year end
# of Employees
140
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,846 |
| AUM (Assets Under Management) | $ 4,848,322,209 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/22/2024 |
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.
