Roger S. Sawtelle

AVIOR WEALTH MANAGEMENT

San Antonio, TX 78230

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CRD#: 806933

Professional summary

Roger Scott Sawtelle is a registered financial advisor currently at AVIOR WEALTH MANAGEMENT, LLC located in San Antonio, Texas.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1975. Roger has worked at 7 firms and has passed the Series 63, Series 7 and Series 1 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Scott Sawtelle'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®

None

Experience

Current

June 17, 2019 - Present

AVIOR WEALTH MANAGEMENT, LLC

Office #1: 9901 Ih-10 West, Suite 745, San Antonio, TX 78230

RIA

CRD#: 148674

San Antonio, TX

Past

September 16, 2015 - April 29, 2019

SAWTELLE FINANCIAL MANAGEMENT

RIA

CRD#: 114928

SAN ANTONIO, TX

Past

May 26, 1992 - May 30, 1997

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

July 8, 1988 - June 10, 1992

DERAND/PENNINGTON/BASS, INC.

CRD#: 4679

Past

August 8, 1983 - July 8, 1988

FINANCIAL SYNERGIES EQUITIES, INC.

CRD#: 7550

Past

June 19, 1983 - October 12, 1984

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

Past

April 10, 1975 - January 21, 1983

VERAVEST INVESTMENTS, INC.

CRD#: 3960

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".

AVIOR WEALTH MANAGEMENT, LLC

CRD#: 148674 / SEC#: 801-69773

RIA

Registered Investment Advisory firm - (12/4/2008 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
(6/17/2019)

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: 2/26/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/15/1993

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 4/5/1975

Registered Representative Examination

Current Firm

AVIOR WEALTH MANAGEMENT, LLC

CRD#: 148674 / SEC#: 801-69773

RIA

Registered Investment Advisory firm - (12/4/2008 Approved)

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Contact information

Main Address

14301 First National Bank Parkway Suite 410, Omaha, NE 68154

Mailing Address

Phone number

(402) 218-4064

Established

Firm type

Fiscal year end

# of Employees

201

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AVIOR ADV 2A 3/2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,385
AUM (Assets Under Management)	$ 5,083,670,234

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 S. Sawtelle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Scott Sawtelle's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAWTELLE FINANCIAL MANAGEMENT

TRANSAMERICA FINANCIAL ADVISORS, LLC

DERAND/PENNINGTON/BASS, INC.

FINANCIAL SYNERGIES EQUITIES, INC.

AETNA LIFE INSURANCE AND ANNUITY COMPANY

VERAVEST INVESTMENTS, INC.

Primary Firm SEC Registration

AVIOR WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/26/1988

Series 7

Date: 1/15/1993

Series 1

Date: 4/5/1975

Current Firm

AVIOR WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AVIOR WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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