DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Roger Romero Szendrey
Feed of 09/14/2026
At current firm
18 y
since Apr 17, 2008
In the industry
29 y
since Oct 24, 1996 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- U.S. Bancorp Advisors, LLC BD affiliated currentsince Apr 17, 2008 · Rolling Hills Estates, Ca
- U.S. Bancorp Investments, Inc. formerMar 24, 2006 to Jan 9, 2008 · Santa Monica, Ca
- Ameriprise Financial Services, LLC national BDDec 2, 2002 to Mar 27, 2006 · Los Angeles, Ca
- Wells Fargo Advisors wirehouseSep 10, 2001 to Oct 30, 2002 · Century City, Ca
Moves
a registration end followed by a registration begin elsewhere
- U.S. Bancorp Investments, Inc. to U.S. Bancorp Advisors, LLCleft Jan 9, 2008, registered Apr 17, 2008 (99 days) · Other
- Ameriprise Financial Services, LLC to U.S. Bancorp Investments, Inc.left Mar 27, 2006, registered Mar 24, 2006 (-3 days) · Other
- Wells Fargo Advisors to Ameriprise Financial Services, LLCleft Oct 30, 2002, registered Dec 2, 2002 (33 days) · Wirehouse to affiliated broker-dealer or bank
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address