Todd Roggen

Todd Roggen, a former financial advisor with Raymond James in Houston, Texas, is the subject of multiple customer complaints, including a 2025 claim alleging unsuitable investment recommendations involving private placements. According to FINRA’s BrokerCheck, the client reported financial losses of at least $5,000 tied to real estate-related investments made between 2021 and 2025.

Roggen was registered with Raymond James from 2010 through November 2024. He is currently affiliated with a registered investment advisory firm called OneSeven, where he holds the title of managing director.

The 2025 complaint adds to Roggen’s growing disciplinary record—he has been the subject of eight customer complaints in total. Seven of those complaints resulted in settlements or awards totaling approximately $680,000.

Brokerage firms like Raymond James are required under FINRA Rule 3110 to establish and enforce supervisory systems that monitor the conduct of their financial advisors. Given Roggen’s history of customer complaints, questions have been raised about whether Raymond James properly supervised his activities. Failure to supervise is a serious regulatory violation and can result in a firm being held liable for client losses due to advisor misconduct.

If you invested with Todd Roggen and believe you suffered financial losses due to unsuitable recommendations or mismanagement, ChapmanAlbin can help you explore your options for financial recovery.

Call 1-877-410-8172 or visit chapmanalbin.com to schedule a free consultation.