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Allen James Rogers

Purshe Kaplan Sterling Investments

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About Allen James Rogers

Allen James Rogers is a financial advisor with Purshe Kaplan Sterling Investments, located in Newtown Square, Pennsylvania. Allen has been working in the financial services industry since June 17, 1983. Allen has a strong track record of success in helping clients achieve their financial goals. Allen is a registered representative with FINRA and has passed the Series 63, SIE and Series 7 exams. Allen is licensed to sell securities in Delaware, Florida, Georgia, Maryland, Massachusetts, Montana, New Jersey, New Mexico, New York, Pennsylvania, South Carolina and Virginia. Allen has a strong understanding of the financial markets and is committed to providing his clients with personalized investment advice.

Firm Information

Allen Rogers is currently registered with Purshe Kaplan Sterling Investments. Purshe Kaplan Sterling Investments is a Corporation formed on December 16, 1993 and is approved to operate in all 50 states, the District of Columbia, and the Virgin Islands. The firm has been registered with the SEC and has 10 regulatory event disclosures and 2 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

181

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Allen Rogers’s Registration & Firm History

PA

04/01/2022 - Present

Purshe Kaplan Sterling Investments (Newtown Square PA)

PA

06/30/2015 - 04/01/2022

SECURITIES AMERICA, INC. (Newtown Square PA)

PA

09/08/2009 - 07/21/2015

LPL FINANCIAL LLC (NEWTOWN SQUARE PA)

PA

03/07/2006 - 09/08/2009

MUTUAL SERVICE CORPORATION (NEWTOWN SQUARE PA)

PA

09/25/1989 - 03/17/2006

HORNOR, TOWNSEND & KENT, INC. (HORSHAM PA)

PA

06/18/1983 - 09/25/1989

JANNEY MONTGOMERY SCOTT INC. (PHILADELPHIA PA)

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Licenses & Designations

BC

Issued 09/27/1983

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/18/1983

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Allen James Rogers. Review regulatory record here.
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