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Roger Kroeger

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Information

Firm:
Type: Dual Registration
Description

Roger Kroeger is a financial professional at Invest Financial Corporation, a broker-dealer with over 1,550 registered representatives nationwide. Roger has held an industry securities registration for 23 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Invest Financial Corporation 24 years, 1 month Oct 1990 - Present
Exams
ExamSeriesPassed Date
Uniform Securities Agent State Law ExaminationSeries 63 07/31/1986
General Securities Representative ExaminationSeries 7 07/19/1986

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Roger Kroeger has not answered any questions on Financial Q&A.

Top Guides

Roger Kroeger has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
10/03/2014
08/10/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
  • Performance-based Fees