Roger Alexander Aiken

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2002 → 02/2025
  Concourse Financial Group Securities Inc
  Gainesville, GA
• 01/2002 → Present
  (Dba) Piedmont Financial Group
  Gainesville, GA
• 02/2025 → Present
  Cetera Wealth Services, Llc
  Gainesville, GA
• 02/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2023-05-03 → 2025-02-20
  Concourse Financial Group Securities, Inc.
  Gainesville, GA
  Gainesville, GA
  Birmingham, AL

Other Businesses

1) (dba) PIEDMONT FINANCIAL GROUP; Investment Related; Residence, Gainesville, GA 30501; Financial Services; Producer; Start Date 01/2002; Sale of financial products and services. >> 2) PIEDMONT FINANCIAL GROUP; Investment Related; Residence, Gainesville, GA 30501; Financial Sales and Service; Registered Representative; Start Date 01/2002; 160 hours per month with 8 of those hours occurring during trading hours; Sales and service of life, long-term care, disability, annuity insurance products as well as mutual funds and variable annuities; Sales and service to clients obtained. >>

Exams

• S66 Uniform Combined State Law Examination
  2023-05-01
• S63 Uniform Securities Agent State Law Examination
  1991-07-08

Other Names

• Roger A Aiken