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Roger Veome

Raymond James & Associates, INC.
28 Years of Experience
Chicago, IL
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Roger Veome is a registered investment advisor at Raymond James & Associates, INC., based in Chicago, IL, with 28 years of industry experience. Roger is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

120 S Riverside, Suite 700, Chicago, IL, 60606

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2010
Settled
Customer Dispute
August 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Roger is a private investor in Milk Money since 2019. He dedicates minimal time to this investment-related activity.

Employment History
Current Registrations
Raymond James & Associates, INC.
May 2016 - Present · 10 yrs 5 mos
Raymond James & Associates, INC.
May 2016 - Present · 10 yrs 5 mos
Raymond James & Associates, INC.Broker
May 2016 - Present · 10 yrs 5 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - June 2016 · 7 yrs
Morgan Stanley
June 2009 - June 2016 · 7 yrs
Morgan Stanley & CO. Incorporated
February 2009 - June 2009 · 4 mos
Morgan Stanley & CO. IncorporatedBroker
February 2009 - June 2009 · 4 mos
Jefferies Investment Advisers, LLC
May 2005 - February 2009 · 3 yrs 9 mos
Jefferies & Company, INC.Broker
November 2004 - February 2009 · 4 yrs 3 mos
Credit Suisse First Boston
January 2003 - December 2004 · 1 yr 11 mos
Credit Suisse First Boston LLCBroker
January 2003 - December 2004 · 1 yr 11 mos
Donaldson Lufkin & Jenrette Securities Corporation
October 2001 - January 2003 · 1 yr 3 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
June 2000 - January 2003 · 2 yrs 7 mos
Banc of America Securities LLCBroker
September 1999 - June 2000 · 9 mos
Mesirow Financial, INC.Broker
May 1997 - October 1998 · 1 yr 5 mos
Global Investment Services, INC.Broker
November 1996 - February 1997 · 3 mos
State Registrations51 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWIWVWY
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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