Financial advisor
Roger Augustyn
Now at Carson · Omaha, NE
Registered as ROGER STEPHEN AUGUSTYN
Transactions 1
Every recorded transaction this advisor took part in, newest first.
| Transaction | From | To | Pattern | Announced | Reported Assets |
|---|---|---|---|---|---|
| Roger Augustyn | Osaic | Carson | Lateral | February 4, 2026 | $103M |
Registration history
Firm registrations on FINRA BrokerCheck and SEC IAPD, newest first.
| Firm | Channel | From | To |
|---|---|---|---|
| CWM, LLC | Investment adviser | January 26, 2026 | Current |
| OSAIC ADVISORY SERVICES, LLC | Investment adviser | November 8, 2024 | January 26, 2026 |
| OSAIC WEALTH, INC. | Broker-dealer | June 14, 2024 | January 26, 2026 |
| ARBOR POINT ADVISORS | Investment adviser | May 20, 2019 | November 8, 2024 |
| WEALTHPLAN PARTNERS | Investment adviser | September 27, 2016 | May 16, 2019 |
| SECURITIES AMERICA, INC. | Broker-dealer | September 26, 2016 | June 14, 2024 |
| SUMMIT FINANCIAL GROUP INC | Investment adviser | September 1, 2016 | September 26, 2016 |
| SUMMIT BROKERAGE SERVICES, INC. | Broker-dealer | September 1, 2016 | September 26, 2016 |
| VSR ADVISORY SERVICES | Investment adviser | January 21, 2011 | September 2, 2016 |
| VSR FINANCIAL SERVICES, INC. | Broker-dealer | January 10, 2011 | September 1, 2016 |
| NEW ENGLAND SECURITIES CORPORATION | Investment adviser | August 12, 2005 | January 21, 2011 |
| NEW ENGLAND SECURITIES | Broker-dealer | July 12, 2005 | January 21, 2011 |
| MULTI-FINANCIAL SECURITIES CORPORATION | Investment adviser | December 15, 2004 | March 16, 2005 |
| MULTI-FINANCIAL SECURITIES CORPORATION | Broker-dealer | December 8, 2004 | July 25, 2005 |
| MORGAN PEABODY, INC. | Broker-dealer | March 4, 2004 | January 3, 2005 |
| SII INVESTMENTS, INC. | Broker-dealer | August 4, 2003 | October 13, 2003 |
| FINANCIAL SOLUTIONS, INC. | Investment adviser | March 6, 1997 | July 22, 2005 |
| VSR FINANCIAL SERVICES, INC. | Broker-dealer | January 4, 1993 | August 4, 2003 |
| FINANCIAL NETWORK INVESTMENT CORPORATION | Broker-dealer | June 27, 1991 | December 31, 1992 |
| MUTUAL BENEFIT FINANCIAL SERVICE COMPANY | Broker-dealer | March 22, 1988 | July 16, 1991 |
| PRIME FINANCIAL SECURITIES, INC. | Broker-dealer | October 20, 1987 | April 4, 1988 |
| R.T. CALDWELL & CO., INCORPORATED | Broker-dealer | May 27, 1987 | October 23, 1987 |
Published record as of October 31, 2026. Registration dates are FINRA BrokerCheck and SEC IAPD registrations at the destination, not proof that client assets transferred. See the methodology.