Roger Richard Rowe

Employer firm

Focus Partners Wealth, LLC CRD 159289

$182B regulatory AUM 1,500 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting

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

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

Current Employers

Employment History

• 11/2012 → 12/2016
  Ubs Financial Services Inc.
  Coral Gables, FL
• 12/2016 → 11/2018
  Loring Ward Securities
  San Jose, CA
• 10/2018 → 09/2020
  Foreside Financial Services, Llc
  San Jose, CA
• 12/2018 → Present
  Buckingham Strategic Wealth
  Clayton, MO
• 07/2024 → Present
  The Colony Group, Llc
  Boston, MA

Previous Registrations

• 2020-10-02 → 2024-11-14
  Buckingham Strategic Wealth, Llc
  St Louis, MO
  San Jose, CA
• 2018-12-13 → 2020-10-02
  Focus Advisor Solutions, Llc
  San Jose, CA
  St. Louis, MO
• 2017-01-06 → 2018-12-13
  Lwi Financial Inc.
  San Jose, CA
• 2012-12-13 → 2016-12-27
  Ubs Financial Services Inc.
  Coral Gables, FL
• 2011-07-25 → 2012-09-13
  Barclays Capital Inc.
  Miami, FL
• 2008-03-03 → 2011-05-12
  Ubs Financial Services Inc.
  Miami, FL
  St. Thomas, VI
  San Francisco, CA
• 2000-09-29 → 2006-06-22
  Ubs Financial Services Inc.
  Miami, FL

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-08-25
• S63 Uniform Securities Agent State Law Examination
  2000-03-06

Designations

• Certified Financial Planner