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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 Sherman Rogers is an Investment Advisor Representative with Brookwood Investment Group. Richard has been in the industry since 1988. Richard is registered with the state of Arizona and holds the following licenses: Series 7, Series 63, Series 65, and SIE. Prior to joining Brookwood Investment Group, Richard was employed with Wells Fargo Advisors LLC, Wells Fargo Clearing Services, LLC, Belpointe Asset Management, LLC, and Belpointe Insurance, LLC. Richard has experience working with high net worth individuals, other investment advisors, charitable organizations, pension and profit-sharing plans, corporations, and individuals other than high net worth.
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.
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2
AZ
09/27/2023 - Present
Brookwood Investment Group (PHOENIX AZ)
MA
10/06/1999 - 11/14/2018
WELLS FARGO CLEARING SERVICES, LLC (HYANNIS MA)
NC
08/02/1999 - 10/05/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
MD
09/01/1997 - 02/01/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NA
05/04/1993 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
NY
02/06/1989 - 04/27/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/25/1988 - 01/03/1989
GRAYSTONE NASH, INC.
IA
Issued 06/13/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/08/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/1988
Series 7 - General Securities Representative Examination
Active
Inactive
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