Unclaimed Profile

Roger Carlton Ochs

H.D. VEST ADVISORY SERVICES, INC·IRVING, Texas

SIE, Series 3, Series 4, Series 7, Series 24, Series 53, Series 63, Series 65CFP ChFCClean record30 years registeredH.D. VEST ADVISORY SERVICES, INC

6333 NORTH STATE HIGHWAY 161, IRVING, TX 75038CRD# 1333092Firm CRD# 104556

Profile Verification

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

Identity

Roger Carlton Ochs · IRVING, TX

Registration

CRD #1333092 · H.D. VEST ADVISORY SERVICES, INC · 30 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: H.D. VEST ADVISORY SERVICES, INC

CHOREO, LLC

Feb 2025 – Oct 2025

Dallas, TX

AVANTAX ADVISORY SERVICES

Jul 1996 – Dec 2023

Dallas, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 4

Series 7

Series 24

Series 53

Series 63

Series 65

Registration record

First registered · July 16, 1996

Years registered · 30

Professional designations · CFP, ChFC

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

AVANTAX ADVISORY SERVICES, INC.

CRD 104556 · SEC 801-29892

AUM

$41.7B

Regulatory assets under management

Employees

2,478

131,534 client accounts

Services offered by AVANTAX ADVISORY SERVICES, 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

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at AVANTAX ADVISORY SERVICES, INC. →

Introduction

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Frequently Asked Questions

What services does Roger Carlton Ochs offer?

Roger Carlton Ochs specializes in Financial Planning, Investment Management, Wealth Management.

What are Roger Carlton Ochs's credentials?

Roger Carlton Ochs holds the following professional designations: CFP, ChFC. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Roger Carlton Ochs located?

Roger Carlton Ochs is based in IRVING, Texas, last registered with H.D. VEST ADVISORY SERVICES, INC.

How does Roger Carlton Ochs charge for services?

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

How large is H.D. VEST ADVISORY SERVICES, INC?

H.D. VEST ADVISORY SERVICES, INC has approximately 2478 employees and manages $41.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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