Leland K. Rogers

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CRD#: 1254657

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.

Leland Kay Rogers, CFP®, who also goes by Lee Rogers, was a registered financial professional .

Leland is a previously registered financial professional and started their career in finance in 1984. Leland had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53, Series 24, Series 8 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lee 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.

MN NORTHWEST, LLC. PRESIDENT AND OWNER.START 03/15/2014.LIFE INSURANCE BROKERAGE COMPANY. I HELP AGENTS AND ADVISORS WITH THEIR FIXED LIFE INSURANCE SALES IDEAS, FIELD WORK, CASE DESIGN, RUNNING PROPOSALS.I RECRUIT THESE AGENTS AND ADVISORS TO MY LIFE BROKERAGE COMPANY.I WORK WITH MANY FINRA REPRESENTATIVES AND HOPE TO RECRUIT THEM TO CAPITAL FINANCIAL AND ASSIST THEM WITH THEIR SECURITIES BUSINESS AS WELL. 50/60 HOURS PER WEEK IN MY BUSINESS. J&L Rogers Inc., not investment related 23824 SE 28th ST Sammamish WA 98075. Nature Computer Software Development and Consulting. Title Vice President and Secretary. Start Date 06/01/2012. Approx. hours per month devoted to this business 2, 0 hours during trading. Duties I keep the corporate books and file tax returns-administrative work, most of the work is done during tax time. I get $200.00 a month in compensation. FIXED INSURANCE THROUGH VARIOUS INSURANCE COMPANIES.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Past

August 12, 2016 - September 2, 2022

LEGACY WEALTH MANAGEMENT, LLC

RIA

CRD#: 174767

Sammamish, WA

Past

March 11, 2015 - February 2, 2016

CAPITAL FINANCIAL SERVICES, INC.

RIA

CRD#: 8408

Sammamish, WA

Past

January 5, 2015 - February 2, 2016

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

Sammamish, WA

Past

February 26, 2009 - November 20, 2013

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

SAMMAMISH, WA

Past

January 3, 2007 - February 10, 2009

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

SAMMAMISH, WA

Past

January 3, 2007 - February 10, 2009

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

May 25, 2001 - September 27, 2006

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

BOTHELL, WA

Past

April 9, 1984 - October 16, 2000

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 9, 1984 - October 16, 2000

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

LEGACY WEALTH MANAGEMENT, LLC

CRD#: 174767 / SEC#: 801-113480

RIA

Registered Investment Advisory firm - (6/21/2018 Approved)

Arizona

Registered Investment Advisory firm - (6/25/2018 Terminated)

Colorado

Registered Investment Advisory firm - (7/3/2018 Terminated)

Florida

Registered Investment Advisory firm - (6/25/2018 Terminated)

Idaho

Registered Investment Advisory firm - (6/25/2018 Terminated)

Maryland

Registered Investment Advisory firm - (12/21/2017 Terminated)

Michigan

Registered Investment Advisory firm - (6/29/2018 Terminated)

Texas

Registered Investment Advisory firm - (6/25/2018 Terminated)

Utah

Registered Investment Advisory firm - (7/6/2018 Terminated)

Washington

Registered Investment Advisory firm - (7/2/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/4/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/11/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/22/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/6/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/27/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/2/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 6/2/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 26

Date: 5/12/1994

Investment Company Products/Variable Contracts Principal Examination

Current Firm

LEGACY WEALTH MANAGEMENT, LLC

CRD#: 174767 / SEC#: 801-113480

RIA

Registered Investment Advisory firm - (6/21/2018 Approved)

Arizona

Registered Investment Advisory firm - (6/25/2018 Terminated)

Colorado

Registered Investment Advisory firm - (7/3/2018 Terminated)

Florida

Registered Investment Advisory firm - (6/25/2018 Terminated)

Idaho

Registered Investment Advisory firm - (6/25/2018 Terminated)

Maryland

Registered Investment Advisory firm - (12/21/2017 Terminated)

Michigan

Registered Investment Advisory firm - (6/29/2018 Terminated)

Texas

Registered Investment Advisory firm - (6/25/2018 Terminated)

Utah

Registered Investment Advisory firm - (7/6/2018 Terminated)

Washington

Registered Investment Advisory firm - (7/2/2018 Terminated)

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Contact information

Main Address

13965 W. Chinden Blvd. Suite 100, Boise, ID 83713

Mailing Address

Phone number

(208) 955-0500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEGACY WEALTH MANAGEMENT, LLC ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,728
AUM (Assets Under Management)	$ 476,513,737

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/16/2025	Cover Page	Report
02/12/2025	Cover Page	Report

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.

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Firm Stability Insights

Leland K. Rogers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL FINANCIAL SERVICES, INC.

CAPITAL FINANCIAL SERVICES, INC.

HORNOR, TOWNSEND & KENT, LLC

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

ALLSTATE FINANCIAL SERVICES, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

LEGACY WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/4/1998

Series 63

Date: 9/11/1985

SIE

Date: 2/2/2016

Series 7

Date: 1/22/1998

Series 6

Date: 4/6/1984

Series 53

Date: 3/27/2003

Series 24

Date: 11/2/2001

Series 8

Date: 6/2/1999

Series 26

Date: 5/12/1994

Current Firm

LEGACY WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LEGACY WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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