Edward 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.
Edward Rogers, who also goes by Edward Lloyd Rogers, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1983. Edward had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2021 - April 2, 2026
TD PRIVATE CLIENT WEALTH LLC
December 22, 2021 - April 2, 2026
TD PRIVATE CLIENT WEALTH LLC
August 3, 2016 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 1, 2016 - January 11, 2021
TD AMERITRADE, INC.
July 21, 2016 - January 11, 2021
TD AMERITRADE, INC.
June 14, 2013 - September 12, 2014
WELLS FARGO CLEARING SERVICES, LLC
March 17, 2011 - June 5, 2013
NYLIFE SECURITIES LLC
February 3, 2005 - April 14, 2009
CHASE INVESTMENT SERVICES CORP.
February 3, 2005 - April 14, 2009
CHASE INVESTMENT SERVICES CORP.
June 13, 2003 - February 16, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
June 6, 2003 - February 16, 2005
IDS LIFE INSURANCE COMPANY
June 6, 2003 - February 16, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
July 20, 1983 - June 22, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 25,697 |
| AUM (Assets Under Management) | $ 8,255,945,350 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 |
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.
