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Roger Lawrence Pierce

Farther

San Francisco, CA

Englewood, CO

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Current Employers
Farther

345 California Street Suite 600, San Francisco, CA 94104 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-09-12
CO RA APPROVED 2024-09-11
  • TX RA
    APPROVED_RES
    Since 2024-09-12
  • CO RA
    APPROVED
    Since 2024-09-11

Branch Locations

345 California Street Suite 600, San Francisco, CA 94104 • United States

4B Inverness Court East Suite 250, Englewood, CO 80112 • 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
First Financial Equity Corporation Denver CO 08/2015 09/2017
Dwpm Llc Denver CO 08/2015 09/2017
Hpca Services Group Llc Denver CO 08/2015 Present
Farther Finance Advisors Denver CO 09/2024 Present
  • 08/2015 → 09/2017
    First Financial Equity Corporation
    Denver, CO
  • 08/2015 → 09/2017
    Dwpm Llc
    Denver, CO
  • 08/2015 → Present
    Hpca Services Group Llc
    Denver, CO
  • 09/2024 → Present
    Farther Finance Advisors
    Denver, CO
Previous Registrations
Other Businesses

Roger Lawrence Pierce does business as Harmony Private Client Advisers to market the services he provides.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-10-25
S63 Uniform Securities Agent State Law Examination 1998-08-10
  • S66 Uniform Combined State Law Examination
    2012-10-25
  • S63 Uniform Securities Agent State Law Examination
    1998-08-10
Other Names
  • Roger L Pierce

View on SEC IAPD

Other Firms

FORT POINT CAPITAL PARTNERS LLC
DIVISAR CAPITAL MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.
1SHARPE CAPITAL LLC
RBC SECURITIES, INC
STRATEGIC ADVISERS LLC
VALEAS CAPITAL PARTNERS
ZENTARA EXCHANGE LTD

Other Investors

TIMOTHY TODD MCDOWELL
JOHN HUGH MCDEVITT
JOSEPH WADE PITTS
MARK ALLAN ANDERSON
RALPH MELVILLE DRYBROUGH
PAUL ROBERT TOUCHSTONE
Jacob David Mahoney
ROBIN TICKNOR BRINCKERHOFF

Other Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA
1SHARPE CAPITAL LLC · SAN FRANCISCO, CA
RBC SECURITIES, INC · SAN FRANCISCO, CA
STRATEGIC ADVISERS LLC · SAN FRANCISCO, CA
VALEAS CAPITAL PARTNERS · SAN FRANCISCO, CA
ZENTARA EXCHANGE LTD · SAN FRANCISCO, CA

More in San Francisco, CA

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