Marcia J. Rogers
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Marcia Johnson Rogers, who also goes by Marcia Sue Johnson, was a registered financial professional .
Marcia is a previously registered financial professional and started their career in finance in 1982. Marcia had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - January 2, 2015
CETERA INVESTMENT ADVISERS LLC
December 6, 2011 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
December 6, 2011 - January 2, 2015
CETERA INVESTMENT SERVICES LLC
April 28, 2006 - September 3, 2009
VISION ASSET MANAGEMENT INC
July 29, 2003 - December 16, 2011
VISION INVESTMENT SERVICES, INC.
July 10, 2002 - July 28, 2003
CHARTER ONE SECURITIES, INC.
April 1, 1998 - July 25, 2002
LASALLE FINANCIAL SERVICES, INC.
October 29, 1993 - April 1, 1998
ALLSTATE FINANCIAL SERVICES, LLC
April 30, 1993 - November 9, 1993
LASALLE FINANCIAL SERVICES, INC.
January 10, 1991 - April 29, 1993
CAPITAL BROKERAGE CORPORATION
April 18, 1989 - August 14, 1990
METROPOLITAN LIFE INSURANCE COMPANY
April 18, 1989 - August 14, 1990
MSI FINANCIAL SERVICES, INC.
August 23, 1982 - April 8, 1989
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
