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Roger Frederick Grefe

Raymond James & Associates, Inc.

Clive, IA

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2008-05-16
IA RA APPROVED 2007-10-09
  • TX RA
    APPROVED_RES
    Since 2008-05-16
  • IA RA
    APPROVED
    Since 2007-10-09

Branch Locations

13137 University Ave, Clive, IA 50325 • 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
Raymond James & Associates, Inc. West Des Moines IA 09/2007 Present
Previous Registrations
Other Businesses

GREATER DES MOINES COMMUNITY FOUNDATION INVESTMENT COMMITTEE - DES MOINES, IA

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2000-05-25
S65 Uniform Investment Adviser Law Examination 1993-04-27
  • S63 Uniform Securities Agent State Law Examination
    2000-05-25
  • S65 Uniform Investment Adviser Law Examination
    1993-04-27

View on SEC IAPD

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Other Offices

EDWARD JONES · CLIVE, IA
PALADIN WEALTH PARTNERS · CLIVE, IA
WELLS FARGO CLEARING SERVICES, LLC · CLIVE, IA
OSAIC WEALTH, INC. · CLIVE, IA
PARK AVENUE SECURITIES LLC · West Des Moines, IA
PRINCIPAL SECURITIES, INC. · West Des Moines, IA
COMMONWEALTH FINANCIAL NETWORK · West Des Moines, IA
PRINCIPAL SECURITIES, INC. · WEST DES MOINES, IA

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