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Richard Roeder
56 Years of Experience
Houston, TX
1 DisclosureBroker
Richard Roeder is a registered investment advisor at Raymond James & Associates, INC., based in Houston, TX, with 56 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
500 Dallas Street, Suite 3400, Houston, TX, 77002
Get directionsHistory
Regulatory History (1)
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Regulatory
May 1981Final
Other Business Activities
Richard is a business owner who spends minimal time opening envelopes monthly with royalty checks. He has made no investment in producing wells, and the activity is not investment-related.
Employment History
Current Registrations
Raymond James & Associates, INC.
March 2020 - Present · 6 yrs 2 mos
Raymond James & Associates, INC.Broker
March 2006 - Present · 20 yrs 2 mos
Previous Registrations
Lehman Brothers INC.Broker
October 2000 - April 2006 · 5 yrs 6 mos
Sg Cowen Securities CorporationBroker
July 1998 - October 2000 · 2 yrs 3 mos
Cowen & CO.Broker
October 1983 - July 1998 · 14 yrs 9 mos
Cowen Securities INC.Broker
May 1981 - January 1988 · 6 yrs 8 mos
Cowen & CO.Broker
August 1973 - February 1981 · 7 yrs 6 mos
Rowles, Winston & CO., IncorporatedBroker
August 1969 - January 1974 · 4 yrs 5 mos
State Registrations11 states
ALAZCACOGALAMSNCNYOKTX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.