RR
ChFC
RR
ChFC
Roger Ramsay is a ChFC-designated registered investment advisor at Sar Services, INC., based in Rochester, NY, with 33 years of industry experience. Roger operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 42 clients with $5.5M in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
42 clients
Average Client Portfolio
$132K average
Assets Under Management
$5.5M
Fee Structure
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $100K | 1.25% |
| $100K - $500K | 1.00% |
| $500K - $1.0M | 0.75% |
| $1.0M - $5.0M | 0.50% |
| $5M+ | 0.50% |
Fees are negotiable for accounts over $5,000,000. ERISA qualified retirement plans asset based annual fee is the greater of 0.50% or $500.00.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
Loading...
Location
Rochester, NY
Get directionsHistory
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.
Civil
May 2017Final
Employment History
Current Registrations
Sar Services, INC.
August 2021 - Present · 4 yrs 9 mos
Previous Registrations
Cadaret, Grant & CO., INC.Broker
March 1999 - December 2009 · 10 yrs 9 mos
Pittsford Capital Markets, INCBroker
May 1996 - September 1998 · 2 yrs 4 mos
Pruco Securities CorporationBroker
October 1992 - June 1996 · 3 yrs 8 mos
G. R. Phelps & CO., INC.Broker
August 1980 - November 1990 · 10 yrs 3 mos
Mony Securities CORP.Broker
July 1978 - May 1989 · 10 yrs 10 mos
The Mutual Life Insurance Company of New YorkBroker
July 1978 - November 1981 · 3 yrs 4 mos
State Registrations1 state
NY
Advisor
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.