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.)

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