Roger M Smith

Current Employers

Employment History

• 02/2015 → 07/2017
  Lpl Financial Llc
  Denver, CO
• 02/2015 → 07/2017
  Vectra Bank Colorado
  Denver, CO
• 07/2017 → 07/2019
  First Allied Securities Inc
  San Diego, CA
• 07/2019 → 12/2022
  Rbc Capital Markets,Llc.
  Greenwood Village, CO
• 01/2023 → Present
  Independent Financial Group, Llc
  San Diego, CA

Previous Registrations

• 2019-08-08 → 2023-01-13
  Rbc Capital Markets, Llc
  Denver, CO
  Minneapolis, MN
• 2017-07-07 → 2019-08-06
  First Allied Advisory Services, Inc.
  Englewood, CO
• 2015-02-20 → 2017-07-12
  Lpl Financial Llc
  Denver, CO
  Denver, CO
  San Diego, CA
  Boulder, CO
  Centennial, CO
  Lone Tree, CO
  Littleton, CO
• 2014-10-21 → 2015-02-20
  Zions Capital Advisors, Inc.
  Denver, CO
  Salt Lake City, UT
• 2013-04-16 → 2014-11-04
  Bok Financial Securities, Inc.
  Englewood, CO
  Denver, CO
  Mesa, AZ
  Phoenix, AZ
  Phoenix, AZ
  Parker, CO
  Littleton, CO
  Parker, CO
  Highlands Ranch, CO
  Albuquerque, NM
  Albuquerque, NM
  Boulder, CO
  Lakewood, CO
  Albuquerque, NM
  Albuquerque, NM
  Denver, CO
  Albuquerque, NM
  Albuquerque, NM
  Greenwood Village, CO
  Aurora, CO
  Albuquerque, NM
  Belen, NM
  Albuquerque, NM
  Denver, CO
  Aurora, CO
  Denver, CO
  Albuquerque, NM
  Rio Rancho, NM
  Albuquerque, NM
  Albuquerque, NM
  Albuquerque, NM
  Albuquerque, NM
  Albuquerque, NM
  Los Lunas, NM
  Santa Fe, NM
  Albuquerque, NM
  Scottsdale, AZ
• 2011-11-03 → 2013-04-23
  Ashfield Capital Partners
  San Francisco, CA
• 2008-05-01 → 2011-05-06
  Ubs Financial Services Inc.
  Seattle, WA
  Weehawken, NJ
• 2007-04-02 → 2008-04-10
  Morgan Stanley & Co. Llc
  Denver, CO
  Purchase, NY
• 2000-05-15 → 2007-04-02
  Morgan Stanley Dw Inc.
  Purchase, NY
  Purchase, NY

Other Businesses

(1) IOWA BREWING COMPANY, LLC POSITION: NON-PARTICIPATING LIMITED PARTNER. NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2017 ADDRESS: 708 3RD ST. SE, CEDAR RAPIDS IA 52401, United States DESCRIPTION: PARTNER. (2) INVESTMENTS AND WEALTH INSTITUTE POSITION: Volunteer NATURE: Volunteer INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/03/2024 ADDRESS: 1202 FAIRBANKS CT, EVERGREEN CO 80439, United States DESCRIPTION: The Ethics Committee consists of two roles (1) Admissions and (2) Hearing Panel.

Exams

• S63 Uniform Securities Agent State Law Examination
  2015-04-29
• S65 Uniform Investment Adviser Law Examination
  1994-12-29

Designations

Other Names

• Roger Martin Smith