Roger Dean Werner
Investment Adviser Representative at Osaic Wealth, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Roger Dean Werner is an investment adviser representative with Osaic Wealth, Inc. in Chappel Hill, NC, where they have been registered since 2018. They have worked in the securities industry since 1971 and were previously registered with Signator Investors, Inc. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in New York and North Carolina.
Registrations & licenses
- Investment adviser:
- New York, North Carolina
- Broker:
7 states and territories
Florida, Nevada, New Jersey, New York, North Carolina, Pennsylvania, Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- JOHN Hancock Mutual LIFE Insurance CompanySep 1993 – Nov 2018Boston, MA
- Signator Investors, Inc.Sep 1993 – Nov 2018Melville, NY
- Royal Alliance Associates, Inc.Nov 2018 – no end date reportedChappel Hill, NC
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Osaic Wealth, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Firm account minimum
- $5,500 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 8,271
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Scottsdale, AZ
- SEC file number:
- 801-54859
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 29, 2026
View full firm profileOther advisors at Osaic Wealth, Inc.
Showing 12 of 8,271 in the directory
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Roger Dean Werner has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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