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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 William Rogers is a financial advisor with Avantax Advisory Services, based in Encinitas, CA. Richard Rogers has been in the industry since July 19, 2018. Richard holds the Series 6, Series 63, Series 65 and SIE licenses, and has been registered with FINRA since July 2, 2020. Avantax Advisory Services is an investment advisor firm that offers a variety of financial services, including financial planning, portfolio management, and retirement planning. Richard has experience working with individuals, businesses, and retirement plans.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
Solicitor fees
1
2
CA
07/02/2020 - Present
Avantax Advisory Services (Encinitas CA)
IA
Issued 06/15/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/07/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/2018
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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