Roger M. Smedley

SMEDLEY FINANCIAL SERVICES

SALT LAKE CITY, UT 84111

Some features on this profile are disabled

CRD#: 733726

Professional summary

Roger Merrill Smedley, CFP® is a registered financial advisor currently at SMEDLEY FINANCIAL SERVICES INC located in Salt Lake City, Utah and OSAIC WEALTH, INC. located in Salt Lake City, Utah.

Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Roger has worked at 5 firms and has passed the Series 65, 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) SMEDLEY FINANCIAL SERVICES, INC. POSITION: Advisors representative NATURE: ROGER M. SMEDLEY/INSURANCE SALES--AGENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/04/1982 ADDRESS: 102 S 200 E., Ste 100, Salt Lake City UT 84111 DESCRIPTION: RIA - offering insurance products in financial planning solutions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Merrill Smedley'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®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

January 27, 1998 - Present

SMEDLEY FINANCIAL SERVICES INC

Office #1: 102 S. 200 E., Suite 100, Salt Lake City, UT 84111

RIA

CRD#: 110870

SALT LAKE CITY, UT

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 102 S. 200 E Suite 100, Salt Lake City, UT 84111-3108

RIA

CRD#: 23131

SALT LAKE CITY, UT

Past

February 26, 1991 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

SALT LAKE CITY, UT

Past

October 22, 1985 - March 4, 1991

ASSOCIATED SECURITIES CORP.

CRD#: 12969

BOSTON, MA

Past

May 16, 1984 - October 29, 1985

AMERICAN FUNDS & TRUSTS INCORPORATED

CRD#: 1066

Past

June 23, 1981 - July 11, 1983

AMERICAN FUNDS & TRUSTS INCORPORATED

CRD#: 1066

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".

SMEDLEY FINANCIAL SERVICES INC

CRD#: 110870 / SEC#: 801-17207

RIA

Registered Investment Advisory firm - (6/4/1982 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Texas
(1/27/1998)

IAR

Utah
(10/3/1999)

Utah
(6/14/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/31/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/12/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/1/1986

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SMEDLEY FINANCIAL SERVICES INC

CRD#: 110870 / SEC#: 801-17207

RIA

Registered Investment Advisory firm - (6/4/1982 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

102 S. 200 E. Suite 100, Salt Lake City, UT 84111

Mailing Address

Phone number

(801) 355-8888

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SMEDLEY FINANCIAL SERVICES INC. ADV PART 2A (8/8/2025)

Regulatory assets under management

Total Number of Accounts	1,952
AUM (Assets Under Management)	$ 341,758,231

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

Kyle Fukuchi

OSAIC WEALTH, INC.

IAR

Farmington, UT

Neal Hansen

NET WORTH ADVISORY GROUP, LLC

IAR

Sandy, UT

Justin Lizama

SIMPLE FINANCIAL, LLC

IAR

West Jordan, UT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roger M. Smedley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Merrill Smedley's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA, INC.

ASSOCIATED SECURITIES CORP.

AMERICAN FUNDS & TRUSTS INCORPORATED

AMERICAN FUNDS & TRUSTS INCORPORATED

Primary Firm SEC Registration

SMEDLEY FINANCIAL SERVICES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/1995

Series 63

Date: 8/12/1981

SIE

Date: 10/1/2018

Series 7

Date: 6/20/1981

Series 24

Date: 7/1/1986

FINRA

Current Firm

SMEDLEY FINANCIAL SERVICES INC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SMEDLEY FINANCIAL SERVICES INC

TRUST BUT VERIFY

Similar Advisors