Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Rogers has been a financial professional since June 4, 1984. Richard is currently registered with Stephens and has been with the firm since January 2011. Richard is also registered with FINRA and is licensed in 36 states. Richard has extensive experience in the financial services industry, including time spent at MORGAN STANLEY SMITH BARNEY, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., and E. F. HUTTON & COMPANY INC.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
NC
04/16/2014 - Present
Stephens (WINSTON-SALEM NC)
NC
06/01/2009 - 01/27/2011
MORGAN STANLEY SMITH BARNEY (WINSTON-SALEM NC)
NC
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WINSTON-SALEM NC)
NY
05/14/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
06/05/1984 - 05/14/1988
E. F. HUTTON & COMPANY INC
IA
Issued 10/08/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/13/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/16/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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