Roger Smith
Roger Smith is a CFP-designated registered investment advisor at Independent Financial Group, LLC, based in San Diego, CA, with 36 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 44,045 clients with $11B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
IFG offers investment management through various programs, including AccessPoint, Custom Asset Management, and Third Party Asset Managers. Fees are based on a percentage of the value of your account and are negotiable. Transaction charges may also apply. The maximum advisory fee is 3.00% per year. IFG and its IARs may receive additional compensation from product sponsors, which creates a conflict of interest.
Location
12671 High Bluff Dr, Ste 200, San Diego, CA, 92130
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Roger is a non-participating limited partner in Iowa Brewing Company, LLC since 2017. He also volunteers with the Investments and Wealth Institute, dedicating minimal time to this role.
Employment History
Current Registrations
Independent Financial Group, LLCBroker
Independent Financial Group, LLC
Previous Registrations
RBC Capital Markets, LLCBroker
RBC Capital Markets, LLC
First Allied Securities, INC.Broker
First Allied Advisory Services, INC.
LPL Financial LLCBroker
LPL Financial LLC
Zions Direct, INC.Broker
Zions Capital Advisors, INC.
Bosc, INC.Broker
Bok Financial Advisors
Ashfield Capital Partners
UBS Financial Services INC.
UBS Financial Services INC.Broker
Morgan Stanley & CO., Incorporated
Morgan Stanley & CO., IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Securities Corporation of IowaBroker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.