Roger L. Schemmel

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CRD#: 733618

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.

Roger Larry Schemmel JR was a registered financial professional .

Roger is a previously registered financial professional and started their career in finance in 1981. Roger had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 27, 2017 - July 26, 2018

HARVEST INVESTMENT SERVICES, LLC

RIA

CRD#: 159390

DAVENPORT, IA

Past

October 24, 2009 - July 23, 2020

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

DAVENPORT, IA

Past

November 1, 1999 - July 23, 2020

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

DAVENPORT, IA

Past

October 8, 1994 - December 7, 1999

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

August 10, 1988 - June 2, 1994

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

August 10, 1988 - June 2, 1994

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

February 25, 1986 - March 13, 1989

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

Past

June 29, 1981 - January 27, 1986

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Past

June 29, 1981 - January 30, 1986

EQUITABLE ADVISORS, LLC

CRD#: 6627

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".

HARVEST INVESTMENT SERVICES, LLC

CRD#: 159390 / SEC#: 801-79232

RIA

Registered Investment Advisory firm - (2/24/2014 Approved)

Arizona

Registered Investment Advisory firm - (3/21/2014 Terminated)

California

Registered Investment Advisory firm - (4/20/2014 Terminated)

Illinois

Registered Investment Advisory firm - (2/24/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (3/28/2014 Terminated)

Michigan

Registered Investment Advisory firm - (3/21/2014 Terminated)

Texas

Registered Investment Advisory firm - (3/21/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 11/28/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/25/1981

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HARVEST INVESTMENT SERVICES, LLC

CRD#: 159390 / SEC#: 801-79232

RIA

Registered Investment Advisory firm - (2/24/2014 Approved)

Arizona

Registered Investment Advisory firm - (3/21/2014 Terminated)

California

Registered Investment Advisory firm - (4/20/2014 Terminated)

Illinois

Registered Investment Advisory firm - (2/24/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (3/28/2014 Terminated)

Michigan

Registered Investment Advisory firm - (3/21/2014 Terminated)

Texas

Registered Investment Advisory firm - (3/21/2014 Terminated)

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Contact information

Main Address

1 Transam Plaza Drive Suite 230, Oakbrook Terrace, IL 60181-4285

Mailing Address

Phone number

(630) 613-9230

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (7/1/2025)

APPENDIX 1: WRAP BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	3,335
AUM (Assets Under Management)	$ 534,204,368

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 L. Schemmel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

VOYA FINANCIAL PARTNERS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

AETNA LIFE INSURANCE AND ANNUITY COMPANY

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

HARVEST INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/28/1983

SIE

Date: 10/1/2018

Series 6

Date: 6/25/1981

Current Firm

HARVEST INVESTMENT SERVICES, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARVEST INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

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