Roger Whitney has been Managing Member of Align Financial since August 2025, is a control person of the firm and directly owns between 25% and 50% of it.
Align Financial, LLC is a Hermantown, MN firm with $434M under management, 188 clients and 5 advisers across 6 offices, as of its September 2026 filing.
Roger Whitney is Co-founder and Retirement Planner at Retire Agile. He co-founded Retire Agile with Tanya Nichols in 2025, merging their firms. He hosts the Retirement Answer Man® podcast and leads the Rock Retirement Club.
Roger Whitney’s longest registration was 9 years at WWK Wealth Advisors (2009–2019). Before joining Align Financial in 2025, Roger Whitney was registered through Strategic Financial Concepts, LLC and LPL Financial LLC.
- Strategic Financial Concepts, LLC– · 6 yearsMansfield, TX · Adviser representative · Firm CRD 141849
- LPL Financial LLC– · 3 yearsFT Worth, TX · Adviser representative · Firm CRD 6413
- WWK Wealth Advisors– · 9 yearsFort Worth, TX · Adviser representative · Firm CRD 146832
- LPL Financial Corporation– · 5 yearsFT Worth, TX · Adviser representative · Firm CRD 6413
- UBS Financial Services Inc.– · 4 yearsFort Worth, TX · Adviser representative · Firm CRD 8174
Professional designations
Listed by Align Financial
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Roger Whitney is registered as an investment adviser representative in 2 states. The first approvals date from August 2025; the most recent is Colorado, in April 2026.
- ColoradoSince 21 April 2026
- TexasSince 7 August 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 30 November 1998 |
| Series 53 | Municipal Securities Principal Examination | 28 April 1995 |
| Series 24 | General Securities Principal Examination | 11 April 1994 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 2 March 1993 |
| Series 4 | Registered Options Principal Examination | 4 September 1992 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 August 1991 |
| Series 7 | General Securities Representative Examination | 29 July 1991 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Registered Options Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Roger Patrick Whitney
- CRD
- 2159694
- Firm
- Align Financial · CRD 309238
- Role
- Managing Member
- Office
- Mansfield, TX
- Registration
- Investment adviser registration
- In the industry since
- July 1991
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- retireagile.com
Where does Roger Whitney work?
Roger Whitney has been Managing Member of Align Financial, LLC since August 2025, and is a control person of the firm.
Is Roger Whitney a financial advisor?
Yes. Roger Whitney has a current investment-adviser registration in Colorado and Texas, through Align Financial since August 2025.
How many years of experience does Roger Whitney have?
Roger Whitney has 35 years in the financial industry, since July 1991, across 5 adviser firms.
What exams has Roger Whitney passed?
Roger Whitney has passed 7 licensing exams: the Series 7, Series 63, Series 4, Series 8, Series 24, Series 53 and Series 65. The earliest, the Series 7, was passed in July 1991. FINRA credited Roger Whitney with the SIE, which began in October 2018.
Where did Roger Whitney work before Align Financial?
Before Align Financial, Roger Whitney was registered through LPL Financial LLC, November 2013 to December 2016; WWK Wealth Advisors, March 2009 to March 2019; LPL Financial Corporation, August 2003 to July 2009; UBS Financial Services Inc., October 1998 to August 2003.
Where is Roger Whitney based?
Roger Whitney’s registered office is in Mansfield, TX.
Is Roger Whitney registered with FINRA?
No. Roger Whitney has no current broker registration.
Is Roger Whitney a CFP?
Align Financial lists Roger Whitney with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Roger Whitney’s record?
Search CRD 2159694 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Roger Whitney’s full registration record.