Education, Certifications and Awards
- Bachelor of Arts from CUNY – Brooklyn College
- Accredited Investment Fiduciary ® by the Center for Fiduciary Studies
- 5 Star Wealth Manager by Texas Monthly
As a Financial Advisor in the Austin, TX area, Roger oversees Strategic Investment Management’s business development.
With more than 25 years of experience in the financial services industry, Roger works closely with clients to understand their situations, motivations, and objectives before crafting a coordinated asset strategy that speaks to their unique needs. Individuals, families, and small business owners turn to Roger for his expertise in retirement planning, and risk management. His deep commitment to helping them make the most of their assets has earned him the loyalty of a longstanding client base.
Things to know about Roger
Roger has worked at Chatfield Dean Investment Bankers, Waterhouse Securities (TDAmeritrade), and Charles Schwab & Co.
Roger lives in Round Rock, Texas, with his wife, Eva, and three kids: his daughter Cameron and two sons Ryan and Reese.
Roger enjoys playing sports and learning to sail.
He is a member of Business Network International.
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com.