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Roger Robert Werling

Spc

Ann Arbor, MI

Fort Wayne, IN

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Current Employers
Spc

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2011-11-04
  • IN RA
    APPROVED
    Since 2011-11-04

Branch Locations

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

6315 Mutual Drive Suite H, Fort Wayne, IN 46825 • 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
Sigma Financial Corporation Ann Arbor MI 11/2011 Present
Spc Ann Arbor MI 11/2011 Present
  • 11/2011 → Present
    Sigma Financial Corporation
    Ann Arbor, MI
  • 11/2011 → Present
    Spc
    Ann Arbor, MI
Previous Registrations
  • 1998-12-01 → 2011-11-09
    Osaic Fa, Inc.
    Fort Wayne, IN
    Ft Wayne, IN
Other Businesses

WERLING FINANCIAL GROUP: LICENSED TO SELL ALL LINES OF INSURANCE INCLUDING FIXED INDEX ANNUITIES APPOINTMENTS WITH VARIOUS INSURANCE COMPANIES

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-01-20
  • S63 Uniform Securities Agent State Law Examination
    1984-01-20
Designations

View on SEC IAPD

Other Firms

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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
FIRST HEARTLAND CONSULTANTS, INC.
OSAIC ADVISORY SERVICES, LLC
GREYDOG FINANCIAL
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J.P. MORGAN SECURITIES LLC
SECURITY FINANCIAL ADVISORS,LLC

Other Investors

WILLIAM ROBERT ELGER
JOHN ALEXANDER MCCLELLAN
JEFFREY STEPHEN SELF
DOUGLAS ALAN VANDERSTELT
MARCUS MAYURKANT TRIVEDI
JENNIFER A. WATSON
SCOTT ARTHUR HAYDEN
DENNIS JOHN CUNNINGHAM

Other Offices

SPC · Ann Arbor, MI
LPL FINANCIAL LLC · ANN ARBOR, MI
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · ANN ARBOR, MI
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · ANN ARBOR, MI
FIRST HEARTLAND CONSULTANTS, INC. · ANN ARBOR, MI
LPL FINANCIAL LLC · ANN ARBOR, MI
OSAIC ADVISORY SERVICES, LLC · Ann Arbor, MI
LPL FINANCIAL LLC · ANN ARBOR, MI

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