Rainey S. Rogers

KESTRA ADVISORY SERVICES

McKinney, TX 75072

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CRD#: 1839823

Professional summary

Rainey Steven Rogers SR, CFP®, who also goes by Rainey Steven Rogers, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Mckinney, Texas and KESTRA INVESTMENT SERVICES, LLC located in Mckinney, Texas.

Rainey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Rainey has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rainey Steven 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.

***GROUP INSURANCE,03/28/2011,SELLS HEALTH INSURANCE. ***OUTSIDE INSURANCE, SELLING FIXED LIFE INSURANCE, FIXED ANNUITIES, HEALTH, DI AND LONG TERM CARE, 7/21/11. ***Blue Dolphin Condo; Not Investment Related; ; Owner; Own condo used for personal and rental purposes.; Start Date: 03/22/2019; 1 hrs per month; 0 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rainey Steven Rogers SR's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1993

Experience

Current

February 8, 2022 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 6928 Mediterranean Dr Suite 200, Mckinney, TX 75072

RIA

CRD#: 283330

McKinney, TX

Current

February 8, 2022 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 6928 Mediterranean Dr Ste 200, Mckinney, TX 75072

CRD#: 42046

McKinney, TX

Past

March 24, 2005 - February 14, 2022

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

MCKINNEY, TX

Past

August 30, 1988 - February 14, 2022

PRINCIPAL SECURITIES, INC.

CRD#: 1137

MCKINNEY, TX

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".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 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.

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

Arizona
(2/8/2022)

Arkansas
(2/8/2022)

California
(2/8/2022)

Colorado
(2/8/2022)

Florida
(2/8/2022)

Georgia
(2/9/2022)

Idaho
(2/8/2022)

Illinois
(11/20/2023)

Kansas
(2/8/2022)

Louisiana
(2/8/2022)

Maryland
(2/8/2022)

Michigan
(2/8/2022)

Minnesota
(2/8/2022)

Missouri
(2/8/2022)

Nevada
(5/23/2022)

North Carolina
(2/17/2022)

Oklahoma
(2/9/2022)

Pennsylvania
(2/8/2022)

South Carolina
(11/17/2022)

Texas
(2/8/2022)

IAR

Texas
(2/8/2022)

Utah
(2/10/2022)

Virginia
(2/8/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/22/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/14/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/29/1988

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	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

Rainey S. Rogers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rainey Steven Rogers SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/22/1988

Series 7TO

Date: 5/14/2024

SIE

Date: 10/1/2018

Series 6

Date: 8/29/1988

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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