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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard John Rogers is an experienced financial advisor with over 35 years of experience in the financial services industry. Richard has worked with several prominent financial institutions, including Fidelity Brokerage Services, Fidelity Investments Institutional Services Company, TD Ameritrade, and Charles Schwab. Richard is currently registered as a financial advisor with Wells Fargo Clearing Services, LLC, and holds several professional licenses and certifications, including Series 6, 7, 8, 9, 10, 63, and 66. Richard is also a registered investment advisor in the state of California. Richard provides investment consulting services to institutional clients and financial planning services to individuals and businesses.
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
05/31/2023 - Present
Wells Fargo Clearing Services, LLC (SAN JOSE CA)
CA
01/26/2022 - 05/12/2023
CHARLES SCHWAB & CO., INC. (Soquel CA)
CA
07/31/2017 - 12/16/2022
TD AMERITRADE, INC. (WALNUT CREEK CA)
CA
09/12/2005 - 07/12/2017
FIDELITY BROKERAGE SERVICES LLC (BURLINGAME CA)
RI
05/21/1998 - 07/20/2005
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
RI
01/06/1987 - 05/21/1998
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
NA
09/30/1986 - 12/16/1986
FIDELITY DISTRIBUTORS CORPORATION
BOTH
Issued 06/02/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/27/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
BC
Issued 09/29/1986
Series 6 - Investment Company Products/Variable Contracts 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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