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CFP

Roger Kiger

LPL Financial LLC
28 Years of Experience
Knoxville, TN
1 DisclosureBroker
View SEC Summary
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Roger Kiger is a CFP-designated registered investment advisor at LPL Financial LLC, based in Knoxville, TN, 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 Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28129 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

620 Mabry Hood Rd, Suite 301, Knoxville, TN, 37932

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History

Regulatory History (1)
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
December 2008
Withdrawn
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Roger is involved in several business activities, including DBAs for his LPL business, Smart-RIA (business owner), real estate rental, Mocha Properties LLC, Marina Management LLC, and Visionary Horizons LLC. He dedicates a significant amount of time to Visionary Horizons, Visionary Horizons Wealth Management, and related activities, ranging from about half to nearly full-time.

Employment History
Current Registrations
LPL Financial LLCBroker
October 2024 - Present · 2 yrs
Visionary Horizons, LLC
September 2009 - Present · 17 yrs 1 mo
Previous Registrations
Purshe Kaplan Sterling InvestmentsBroker
August 2009 - October 2024 · 15 yrs 2 mos
Commonwealth Financial NetworkBroker
March 2007 - August 2009 · 2 yrs 5 mos
Commonwealth Financial Network
March 2007 - August 2009 · 2 yrs 5 mos
Suntrust Investment Services, INC.
July 2002 - March 2007 · 4 yrs 8 mos
Suntrust Investment Services, INC.Broker
March 2002 - March 2007 · 5 yrs
Amsouth Investment Services, INC.Broker
February 2000 - March 2002 · 2 yrs 1 mo
Invest Financial CorporationBroker
February 1998 - February 2000 · 2 yrs
American Express Financial Advisors INC.Broker
May 1997 - February 1998 · 9 mos
Ids Life Insurance CompanyBroker
May 1997 - February 1998 · 9 mos
State Registrations11 states
CAFLGAINKYLAMONCSCTNTX
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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