Roger Dean Werner

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-26
NC	RA	APPROVED	2018-11-02

NY RA
APPROVED

Since 2021-04-26
NC RA
APPROVED

Since 2018-11-02

Branch Locations

Chappel Hill, NC • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
John Hancock Mutual Life Insurance Company	Boston	MA	09/1993	11/2018
Signator Investors, Inc.	Melville	NY	09/1993	11/2018
Royal Alliance Associates, Inc.	Chappel Hill	NC	11/2018	Present

09/1993 → 11/2018

John Hancock Mutual Life Insurance Company

Boston, MA
09/1993 → 11/2018

Signator Investors, Inc.

Melville, NY
11/2018 → Present

Royal Alliance Associates, Inc.

Chappel Hill, NC

Previous Registrations

1998-03-25 → 2018-11-02

Signator Investors, Inc.

Rockville Center, NY

Rockville Centre, NY

Chappel Hill, NC

Melville, NY

Other Businesses

1. INSURANCE SALES POSITION: President NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 07/01/1970 ADDRESS: 106 Pinot Court, Chapel Hill NC 27517, United States DESCRIPTION: Insurance Sales 2. UNC BOARD OF VISITORS POSITION: Volunteer NATURE: volunteer Advisory Committee INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2018 ADDRESS: University of North Carolina at Chapel Hill, 208 West Franklin Street, Chapel Hill NC 27516, United States DESCRIPTION: Communication with prospective honors students admitted to the university. 3. VISTA PLANNING POSITION: Owner NATURE: Sole Proprietorship. This is only a DBA. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/01/2020 ADDRESS: 106 Pinot Court, Chapel Hill NC 27517, United States DESCRIPTION: Vista Planning is Marketing Name for BD related sales/ solicitation

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-09-28
S63	Uniform Securities Agent State Law Examination	1987-01-27

S65 Uniform Investment Adviser Law Examination

1998-09-28
S63 Uniform Securities Agent State Law Examination

1987-01-27

Designations

View on SEC IAPD