Roger Charles Waller

Current Employers

American Independent Securities Group, Llc

664 S Rivershore Lane Ste 150, Eagle, ID 83616 • United States

Current Registrations

Authority	Category	Status	Date
WA	RA	APPROVED	2019-01-04

WA RA
APPROVED

Since 2019-01-04

Branch Locations

Spokane, WA • United States

664 S Rivershore Lane Suite 150, Eagle, ID 83616 • USA

664 S Rivershore Lane Ste 150, Eagle, ID 83616 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Berthel Fisher & Company Financial Services, Inc	Spokane	WA	01/2016	12/2018
Berthel Fisher & Company Planning, Inc.	Spokane	WA	01/2016	12/2018
American Independent Securities Group	Eagle	ID	01/2019	Present

01/2016 → 12/2018

Berthel Fisher & Company Financial Services, Inc

Spokane, WA
01/2016 → 12/2018

Berthel Fisher & Company Planning, Inc.

Spokane, WA
01/2019 → Present

American Independent Securities Group

Eagle, ID

Previous Registrations

2016-01-13 → 2018-11-30

Bfc Planning, Inc.

Spokane, WA

Cedar Rapids, IA
2012-02-28 → 2015-12-31

Cetera Advisors Llc

Greenwood Village, CO

Greenwood Village, CO

Spokane, WA

Spokane, WA
1998-05-13 → 2012-02-28

Pacific West Financial Consultants Inc

Spokane, WA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-09-20
S65	Uniform Investment Adviser Law Examination	1996-09-20

S63 Uniform Securities Agent State Law Examination

1996-09-20
S65 Uniform Investment Adviser Law Examination

1996-09-20