Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Edwin Rogers is a registered representative with Wells Fargo Clearing Services, LLC. Philip Rogers is a veteran financial advisor with over 20 years of experience in the industry. Philip Rogers specializes in providing investment advice and portfolio management for individuals, businesses, and institutions. Philip Rogers is also registered to offer investment advisory services in several states including California, Idaho, Nevada, and Utah. Philip Rogers has been affiliated with Wells Fargo Clearing Services, LLC since September 2019. Prior to that, Philip Rogers was a registered representative with JPMorgan Securities LLC, Chase Investment Services Corp., WAMU Investments, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
09/30/2019 - Present
Wells Fargo Clearing Services, LLC (FRESNO CA)
CA
10/01/2012 - 10/10/2019
J.P. MORGAN SECURITIES LLC (OAKDALE CA)
CA
05/02/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (MERCED CA)
CA
10/02/2008 - 05/02/2009
WAMU INVESTMENTS, INC. (LOS BANOS CA)
CA
01/05/2005 - 10/02/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MODESTO CA)
NY
08/05/2002 - 01/05/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 08/29/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 08/02/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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