Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard W. Rogers is a financial advisor with over 30 years of experience in the financial services industry. Richard is currently registered with Cetera Investment Advisers LLC and has previously worked for several other well-known firms including LPL FINANCIAL LLC, Cetera Advisors LLC, Investors Capital Corp., Mutual Service Corporation, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Citigroup Global Markets Inc., Prudential Securities Incorporated and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Richard provides financial planning, portfolio management for businesses and individuals, and pension consulting services to individuals and families. Richard is also the owner and managing partner of Abbey Capital LLC, a financial services firm based in Canton, Massachusetts.
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.
A percentage of the total value of assets under management is charged.
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2
MA
03/21/2024 - Present
Cetera Investment Advisers LLC (Milton MA)
MA
07/18/2018 - 08/10/2023
LPL FINANCIAL LLC (CANTON MA)
MA
10/03/2016 - 07/19/2018
CETERA ADVISORS LLC (BOSTON MA)
MA
08/27/2009 - 10/03/2016
INVESTORS CAPITAL CORP. (BOSTON MA)
MA
04/25/2008 - 09/01/2009
MUTUAL SERVICE CORPORATION (BRAINTREE MA)
MA
04/02/2007 - 04/28/2008
MORGAN STANLEY & CO. INCORPORATED (BOSTON MA)
MA
12/01/2003 - 04/02/2007
MORGAN STANLEY DW INC. (BOSTON MA)
NY
07/27/1998 - 12/11/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
07/24/1995 - 07/30/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
01/09/1992 - 07/25/1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 07/16/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/15/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 01/08/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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