Unclaimed Profile

Roger Lee Dick

UWHARRIE INVESTMENT ADVISORS, INC.·ALBEMARLE, North Carolina

SIE, Series 7, Series 24, Series 63, Series 65, Series 79TOClean record31 years registeredUWHARRIE INVESTMENT ADVISORS, INC.

132 NORTH FIRST STREET, ALBEMARLE, NC 28001CRD# 1639662Firm CRD# 117592

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Roger Lee Dick · ALBEMARLE, NC

Registration

CRD #1639662 · UWHARRIE INVESTMENT ADVISORS, INC. · 31 years registered

Brand Profile

Not yet started

Career History

UWHARRIE INVESTMENT ADVISORS, INC.

Dec 2001 – present

THE STRATEGIC ALLIANCE CORPORATION

Jun 1995 – present

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 65

Series 79TO

Registration record

First registered · June 20, 1995

Years registered · 31

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

UWHARRIE INVESTMENT ADVISORS, INC.

CRD 117592 · SEC 801-63767

AUM

$225M

Regulatory assets under management

Employees

764 client accounts

Services offered by UWHARRIE INVESTMENT ADVISORS, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at UWHARRIE INVESTMENT ADVISORS, INC. →

Introduction

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Frequently Asked Questions

What services does Roger Lee Dick offer?

Roger Lee Dick specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in ALBEMARLE, North Carolina for a consultation.

What are Roger Lee Dick's credentials?

Roger Lee Dick is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Roger Lee Dick located?

Roger Lee Dick is based in ALBEMARLE, North Carolina, working with UWHARRIE INVESTMENT ADVISORS, INC.. Their office serves clients in the ALBEMARLE metropolitan area and surrounding communities.

How does Roger Lee Dick charge for services?

Roger Lee Dick's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is UWHARRIE INVESTMENT ADVISORS, INC.?

UWHARRIE INVESTMENT ADVISORS, INC. has approximately 17 employees and manages $225M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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