Roger Wayne Shumaker

Current Employers

Employment History

• 09/1996 → Present
  Retirement & Tax Solutions
  Topeka, KS
• 02/2009 → 11/2025
  Next Generation Investing, Llc
  Topeka, KS
• 08/2014 → 06/2019
  Tcm Securities
  Woodstock, GA
• 06/2019 → 03/2025
  World Equity Group
  Arlington Heights, IL
• 11/2025 → Present
  Osaic Wealth, Inc.
  Topeka, KS

Previous Registrations

• 2006-09-29 → 2014-09-26
  Next Financial Group, Inc.
  Topeka, KS
  Houston, TX
  Independence, KS
• 2003-09-24 → 2006-09-29
  Usa Financial Securities Llc
  Ada, MI
  Topeka, KS

Other Businesses

1) NEXT GENERATION INVESTING, LLC; INVEST RELATED; 5909 SW 28th St, Ste. 100, Topeka, KS 66614; Nature of the OBA: InvestAdv Rep; Posn/Title/Relationship: Mng Member and 70% Owner; START DATE: 2/9/2009; TIME SPENT APPROX. 150 Hrs/Mo, 8 Hrs during trading hrs. Duties: RIA PROVIDING FINANCIAL PLANNING SVCS; PORTFOLIO MGMT; SELECTION OF MONEY MGRS; MARKET TIMING SERVICES & SUB-ACCOUNT ADVISOR FOR OTHER INVEST ADVISORS; DUTIES: PROVIDING INVEST ADV SVCS &CONDUCTING EDUCATIONAL SEMINAR/WORKSHOPS 2) THE RETIREMENT TEAM, DBA POSITION: Insurance Agent, RR, IAR NATURE: Sole Proprietorship Fixed insurance products, including annuities and life insurance. This is a marketing DBA for my financial services activity INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/01/1987 ADDRESS: 5909 SW 28th St, Ste 100, Topeka KS 66614, United States DESCRIPTION: Fixed Insurance sales and other related activates. 3) Estate/other planning;Invest related;5909 SW 28th St,Ste100,Topeka,KS 66614;Nature of OBA:Fee Based Planning; Position/Title/Relationship: Planner;Start Date:1/1/12; Approx 8 hrs/Mo; 4 Hrs during trading hours; Duties: Fee based Estate planning, LTC planning,Ins planning,Income tax review/planning 4) SmartVestor Pro; Invest Related;5909 SW 28th St,Ste 100,Topeka, KS 66614; Nature of OBA: Dave Ramsey Smartvestor Pro;Position/Title/Relationship: Smartvestor Pro; Start Date: 1/26/16,; Approx. 1 hrs/Mo, Hrs during trading hrs: 1 hr:Duties: Provide fincl coaching/education 5) Farming; POS:Owner NATURE:Farm INVEST RELATED:No #HRS:8 SECURITIES TRADING HRS:4 START DATE: 09/06/2022 ADDRESS:W Rd, Wetmore KS 66550 DESCR:Farm Mgmt 6) Trustee; Ttee for Shumaker Legacy Trust&Shumaker Retirement Trust for Direct Family Member.No Ttee compensation;Ttee Duties;5909 SW 28th St, Suite 100,Topeka, KS 66614, Start Date: 12/20/22 DESC:Fixed Ins sales 7) FARM RENTAL:POS:owner NATURE:Rent farmland. INVEST RELATED:No #HRS:5 SECURITIES TRADING HRS:1 START DATE:01/01/2022: 5909 SW 28th St, Ste 100, Topeka KS 66614 DESC:Rent farmland 8) NOTARY: POSITION: owner NATURE: Sole Proprietor INVEST RELATED:Yes #HRS:1 SECURITIES TRADING HRS:1 START DATE: 08/28/2001:5909 SW 28th St, Ste 100, Topeka KS 66614 DESC:Notary Services 9) SUSAN'S TAX SVC, THE RETIREMENT TEAM: POSITION: asst NATURE:Tax return prep INVEST RELATED: No #HRS:5 SECURITIES TRADING HRS:1 START DATE:02/01/1997:5909 SW 28th St, Ste 100, Topeka KS 66614 DESC: Gather data for tax return prep. 10 )SHUMAKER DEV, LLC: POSITION: Mng Member NATURE:Own bldg that rents out office space.INVEST RELATED: No #HRS:1 SECURITIES TRADING HRS:1 START DATE:07/01/2006:5909 SW 28th St, Ste 100,Topeka KS 66614 DESC:Oversee rental of office 11) TRUSTEE: POS:TteeNATURE: Ttee for sister's irrev trust. INVEST RELATED:No #HRS:5 SECURITIES TRADING HRS:1 START DATE: 10/01/2022: 5909 SW 28th St, Ste 100, Topeka KS 66614 DESC: Trustee 12) POA FOR SON.POS:POA NATURE:POA for E.Shumaker INVESTMENT RELATED:No #HRS: 5 SECURITIES TRADING HRS:1 START DATE:09/01/2019 ADDR:400 SW Pepperwood Rd, Topeka KS 66614 DESC:POA for Son, assist with financial and health issues when needed 13) SUNSET SHORES HOA POS: President NATURE: Non profit organization, Home Owners Association INVESTMENT RELATED: No #HRS:10 SECURITIES TRADING HRS:2 START DATE: 09/24/2022 ADDR:260 Riverside Dr,Climax Springs MO 65324 DESC:Duties include, Hold Board or Member Meetings. Review with Board possible capital expenditures, budget and home owners requests & financial ledgers I do not have any control or access to transact any bank transactions, no sign in access or cannot sign checks 14) FIXED INSURANCE SALES POS:Agent NATURE:Sole prop. INVESTMENT RELATED: Yes #HRS:10 SECURITIES TRADING HRS:8 START DATE:07/01/1987 ADDR:5909 SW 28th St,Ste 100, opeka KS 66614 DESC:Fixed Insurance Sales, Investment related. Sales of life, annuities,LTC, health & other insurance.Fee based reviews of insurance products. Beneficiary filing for a fee

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-12-23
• S63 Uniform Securities Agent State Law Examination
  1997-05-16