Roger A. Spain

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CRD#: 7474418

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 Alan Spain, who also goes by Robert Alan Spain, was a registered financial professional .

Roger is a previously registered financial professional and started their career in finance in 2022. Roger had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

Robert Alan Spain

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

March 1, 2022 - February 15, 2024

WARREN AVERETT RIA, LLC

RIA

CRD#: 317452

BIRMINGHAM, AL

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.

Exams

Current Firm

WARREN AVERETT RIA, LLC

CRD#: 317452 / SEC#:

Alabama

Registered Investment Advisory firm - (3/1/2022 Approved)

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Contact information

Main Address

2500 Acton Road, Birmingham, AL 35243

Mailing Address

Phone number

(205) 979-4100

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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