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Roger Scott Collins

Cetera Investment Advisers LLC

Lexington, KY

Richmond, KY

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2022-01-05
  • KY RA
    APPROVED
    Since 2022-01-05

Branch Locations

201 E. Main St Suite 520, Lexington, KY 40507 • United States

Richmond, KY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Foresters Financial Services Lexington KY 01/2016 06/2019
Cetera Investment Services Llc St Cloud MN 06/2019 Present
Cetera Investment Advisers Llc Lexington KY 01/2022 Present
  • 01/2016 → 06/2019
    Foresters Financial Services
    Lexington, KY
  • 06/2019 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 01/2022 → Present
    Cetera Investment Advisers Llc
    Lexington, KY
Other Businesses

1. COLLINS WEALTH MANAGEMENT INC., TAX OFF SETTING 2. OWNER OF ONE CHIP AT A TIME; WOODWORKING; 6-10 HRS/WK

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-01-04
S63 Uniform Securities Agent State Law Examination 2012-07-30
  • S66 Uniform Combined State Law Examination
    2022-01-04
  • S63 Uniform Securities Agent State Law Examination
    2012-07-30
Other Names
  • Chip Collins
  • Roger Scott Collins

View on SEC IAPD

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LPL ENTERPRISE, LLC
ASIO CAPITAL LLC
EDWARD JONES

Other Investors

MICHAEL JAMES BROWNELL
JASON CHRISTOPHER GRESHAM
JAMES CARL GRAY
MARC ALLEN MOORE
AARON WILLIAM SEYFRIED
CARL LEE JINRIGHT
GEORGE DAVID PIERCE
JAMES MICHAEL THOMPSON

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · LEXINGTON, KY
WEALTH MANAGEMENT OF THE BLUEGRASS, LLC. · LEXINGTON, KY
LPL FINANCIAL LLC · LEXINGTON, KY
CETERA INVESTMENT ADVISERS LLC · LEXINGTON, KY
INVEST INC. · LEXINGTON, KY
EAGLE STRATEGIES LLC · LEXINGTON, KY
LPL ENTERPRISE, LLC · LEXINGTON, KY
LPL FINANCIAL LLC · LEXINGTON, KY

More in Lexington, KY

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