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RB

Roger L. Bennett

Some features on this profile are disabled
CRD#: 823165
RB

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 Lowell Bennett was a registered financial professional .

Roger is a previously registered financial professional and started their career in finance in 1976. Roger had worked at 9 firms and has passed the Series 63, SIE and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

September 1, 2016 - January 4, 2019

SUMMIT FINANCIAL GROUP INC

RIA
CRD#: 109485
WEATHERBY, MO
Past

September 1, 2016 - December 31, 2018

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
Weatherby, MO
Past

February 1, 2010 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

RIA
CRD#: 14503
Weatherby, MO
Past

February 1, 2010 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
Weatherby, MO
Past

June 24, 2004 - February 16, 2010

LPL FINANCIAL LLC

RIA
CRD#: 6413
INDEPENDANCE, MO
Past

June 24, 2004 - February 16, 2010

LPL FINANCIAL LLC

BD
CRD#: 6413
INDEPENDANCE, MO
Past

January 12, 2004 - June 14, 2004

MAIN STREET MANAGEMENT COMPANY

RIA
CRD#: 547
INDEPENDENCE, MO
Past

April 26, 2002 - June 14, 2004

MAIN STREET MANAGEMENT COMPANY

BD
CRD#: 547
BOSTON, MA
Past

March 1, 1996 - August 16, 1996

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

August 15, 1994 - April 29, 2002

ADVANTAGE CAPITAL CORPORATION

BD
CRD#: 146
ATLANTA, GA
Past

October 13, 1992 - August 15, 1994

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

June 10, 1976 - March 1, 1996

G. R. PHELPS & CO., INC.

BD
CRD#: 173

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

State Security Law Exam
RR
Series 63
Date: 6/18/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 6/4/1976
Registered Representative Examination

Current Firm

SF
SUMMIT FINANCIAL GROUP INC
SUMMIT FINANCIAL GROUP INC

CRD#: 109485 / SEC#: 801-56645

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Contact information

Main Address
595 S. Federal Highway Suite 500, Boca Raton, FL 33432-5541
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

SUMMIT FINANCIAL GROUP WRAP FEE PROGRAM BROCHURE (3/30/2021)
SUMMIT FINANCIAL GROUP FIRM BROCHURE (3/30/2021)

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.

Company Information

SUMMIT FINANCIAL GROUP INC

CRD#: 109485

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