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Roger Roemmich: $100K Complaint Against Alexander Capital Advisor

Atlanta financial advisor Roger Roemmich (CRD# 1293322) recently received an investor complaint alleging that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Alexander Capital.

Mr. Roemmich’s BrokerCheck report discloses two investor complaints. The most recent, filed in Filed in October 2023, it alleged that as a Dempsey Lord Smith representative, he failed to conduct reasonable due diligence and recommended an unsuitable high-risk investment. The pending complaint alleges damages of $100,001.

An earlier investor complaint, filed in 2013, alleged that as a representative of Triad Advisors, he misrepresented and recommended an unsuitable tenant-in-common product. In 2015 the complaint reached a settlement of $227,500.

According to the Financial Industry Regulatory Authority, Roger Roemmich holds 24 years of securities industry experience. Based in Atlanta, Georgia, he has been a broker and an investment advisor with Alexander Capital since 2020. His past registrations include Retirement Cash Flow Group (Alpharetta, Georgia; 2019-2023), Dempsey Lord Smith (Alpharetta, Georgia; 2016-2020), Roger’s Retirement Readiness Alliance (Alpharetta, Georgia; 2016-2018), Coastal Equities (Roswell, Georgia; 2014-2016), ROKA Wealth Strategists (Bogart, Georgia; 2007-2016), Triad Advisors (Roswell, Georgia; 2006-2014), H&R Block Financial Advisors (Duluth, Georgia; 2003-2006), Investacorp (1988-1989), Jason McKenzie Securities Corporation (1987-1988), Ashford Capital Corporation (1988), FSC Securities Corporation (1984-1987), and Phoenix Fianncial Corporation (1984). His credentials include the passage of six securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Futures Managed Funds Examination, or Series 31; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Combined State Law Examination, or Series 66. He holds 19 state licenses. (Information current as of January 30, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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