Roger Godin is a registered investment advisor, based in Independence, OH, with 11 years of industry experience.
Location
6050 Oak Tree Blvd., Suite 100, Independence, OH, 44131
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Regulatory History
Clean regulatory record
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Roger is an insurance agent providing insurance advice, starting in May 2025. This activity takes a few hours per week and occurs during trading hours.
Employment History
Current Registrations
Purshe Kaplan Sterling InvestmentsBroker
April 2025 - Present · 1 yr 1 mo
Prasad Wealth Partners
September 2024 - Present · 1 yr 8 mos
Previous Registrations
Regulus Financial Group, LLCBroker
January 2021 - September 2024 · 3 yrs 8 mos
Regal Investment Advisors LLC
January 2021 - September 2024 · 3 yrs 8 mos
Robert W. Baird & CO. IncorporatedBroker
January 2018 - December 2020 · 2 yrs 11 mos
Robert W. Baird & CO. Incorporated
January 2018 - December 2020 · 2 yrs 11 mos
PNC Investments
December 2017 - January 2018 · 1 mo
PNC InvestmentsBroker
December 2017 - January 2018 · 1 mo
Wells Fargo Clearing Services, LLC
February 2015 - October 2017 · 2 yrs 8 mos
Wells Fargo Clearing Services, LLCBroker
November 2014 - October 2017 · 2 yrs 11 mos
State Registrations5 states
FLNCNYOHTX
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.