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Neil Ward Rogers

Charles Schwab & CO., Inc.

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About Neil Ward Rogers

Neil Ward Rogers is a financial professional with over 20 years of experience in the industry. Currently, Neil is a registered representative with Charles Schwab & Co., Inc., and is located in Lone Tree, CO. Prior to joining Charles Schwab & Co., Inc., Neil was registered with E*TRADE SECURITIES LLC and Janus Distributors LLC. Neil holds Series 6, 7, 63, and SIE licenses.

Firm Information

Neil Rogers is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Neil Rogers’s Registration & Firm History

CO

07/30/2020 - Present

Charles Schwab & CO., Inc. (Lone Tree CO)

CO

02/14/2020 - 05/19/2020

E*TRADE SECURITIES LLC (Centennial CO)

CO

03/05/2001 - 08/17/2004

JANUS DISTRIBUTORS LLC (DENVER CO)

CO

10/30/2000 - 01/23/2001

JANUS DISTRIBUTORS, INC. (DENVER CO)

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Licenses & Designations

BC

Issued 03/12/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/14/2020

Series 7TO - General Securities Representative Examination

BC

Issued 08/22/2019

SIE - Securities Industry Essentials Examination

BC

Issued 10/27/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Neil Ward Rogers.
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