Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kerry? Claim Your ProfileKerry Rogers is a financial advisor with Principal Securities, Inc. with over 23 years of experience in the financial services industry. Kerry has been registered with the Securities and Exchange Commission (SEC) since 1998 and holds Series 63, 65, 7, and 79TO licenses. Kerry has also worked for Cutter & Company, Inc., LPL Financial Corporation, UBS Financial Services Inc., and Citigroup Global Markets Inc. Kerry is registered to provide investment advice in Illinois, Indiana, Kansas, Missouri, Texas, and Washington.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
MO
07/20/2022 - Present
Principal Securities, Inc. (SAINT LOUIS MO)
NY
10/30/2017 - 07/18/2022
PLANMEMBER SECURITIES CORPORATION (IRVINGTON NY)
MO
05/04/2009 - 12/31/2016
CUTTER & COMPANY, INC. (CHESTERFIELD MO)
MO
06/05/2007 - 05/11/2009
LPL FINANCIAL CORPORATION (ST. LOUIS MO)
MO
10/01/2004 - 10/12/2007
UBS FINANCIAL SERVICES INC. (TOWN & COUNTRY MO)
NY
11/02/1998 - 10/14/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IA
Issued 05/19/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/23/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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