CR
Carl E. Rogers
AMERITAS ADVISORY SERVICES
Charlotte, NC 28277
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CRD#: 1144569
CR
Professional summary
Carl Edward Rogers JR, ChFC®, CLU®, who also goes by Carl Edward Rogers, is a registered financial advisor currently at AMERITAS ADVISORY SERVICES, LLC located in Charlotte, North Carolina and AMERITAS INVESTMENT COMPANY, LLC located in Charlotte, North Carolina.
Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Carl has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carl Edward Rogers
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
LICENSED AS AN INDEPENDENT INSURANCE AGENT FOR THE PURPOSE OF SELLING FIXED INSURANCE PRODUCTS; * ROGERS & ASSOCIATES; SAME AS BRANCH; INV REL; WORK WITH BUSINESS OWNERS AND ADDRESS ISSUES AROUND SUCCESSION PLANNING, ESTATE PLANNING, EXECUTIVE COMPENSATION PLANNING, HELP FACILITATE A PLANNING TEAM OF ATTORNEYS, ACCOUNTANTS, VALUATION SPECIALISTS AND ANY OTHER DISCIPLINE NECESSARY TO MOVE A PLAN TO CONCLUSION. INSURANCE AGENCY; AGENT; START DATE=09/2008; HRS/MO=160; TRADING HRS/MO=160; WORK WITH BUSINESS OWNERS AND ADDRESS ISSUES AROUND SUCCESSION PLANNING, ESTATE PLANNING, EXECUTIVE COMPENSATION PLANNING, HELP FACILITATE A PLANNING TEAM OF ATTORNEYS, ACCOUNTANTS, VALUATION SPECIALISTS AND ANY OTHER DISCIPLINE NECESSARY TO MOVE A PLAN TO CONCLUSION. INSURANCE SALES; * PARK SOUTH GROUP; SAME AS BRANCH; INV REL; GENERAL AGENCY; INSURANCE AGENT; START DATE=06/2008; HRS/MO=80; TRADING HRS/MO=80; INSURANCE SALES * MECKLENBURG COUNTY BOARD OF ELECTIONS; NON INV REL; 741 KENILWORTH AVE, STE 202, CHARLOTTE, NC, 24204; ELECTION BOARD; PRECINCT JUDGE; START DATE=03/2024; HRS/MO=2; TRADING HRS/MO=2; HELP SUPERVISE THE SMOOTH FLOW OF THE ELECTION PROCESS ON ELECTION DAY AT A PRECINCT * dba SOUTHEAST FINANCIAL SERVICES, INC; INV REL; 101 S ELM ST, STE 220, GREENSBORO, NC 27401; FINANCIAL SERVICES; AGENT; START DATE=01/2024; HRS/M0=60; TRADING HRS/MO=30; FINANCIAL ADVISING
CRS (Client Relationship Summary) - RIA
Click below to view Carl Edward Rogers JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
November 1, 2021 - Present
AMERITAS ADVISORY SERVICES, LLC
Office #1: 3440 Toringdon Way Ste 205, Charlotte, NC 28277RIA
CRD#: 317245
Charlotte, NC
Current
September 5, 2008 - Present
AMERITAS INVESTMENT COMPANY, LLC
Office #1: 3440 Toringdon Way Ste 205, Charlotte, NC 28277BD
CRD#: 14869
Charlotte, NC
Past
September 8, 2008 - November 1, 2021
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
LINCOLN, NE
Past
October 8, 2002 - September 3, 2008
EQUITY SERVICES, INC.
RIA
CRD#: 265
CHARLOTTE, NC
Past
September 11, 1989 - September 3, 2008
EQUITY SERVICES, INC.
BD
CRD#: 265
CHARLOTTE, NC
Past
June 22, 1983 - February 29, 1988
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AA
AMERITAS ADVISORY SERVICES, LLC
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
RIA
Registered Investment Advisory firm - (1/13/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(5/1/2020)
RR
North Carolina(9/5/2008)
IAR
North Carolina(11/1/2021)
RR
South Carolina(9/5/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AA
AMERITAS ADVISORY SERVICES, LLC
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
RIA
Registered Investment Advisory firm - (1/13/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5900 O Street, Lincoln, NE 68510
Mailing Address
Phone number
(800) 335-9858
Established
Firm type
Fiscal year end
# of Employees
560
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 41,501 |
| AUM (Assets Under Management) | $ 11,506,548,514 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 07/23/2024 | ||
| 07/27/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
