Richard S. Rogers

BROOKWOOD INVESTMENT GROUP

Phoenix, AZ 85044

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CRD#: 1847671

Professional summary

Richard Sherman Rogers JR, who also goes by Jr Richard Rogers, is a registered financial advisor currently at BROOKWOOD INVESTMENT GROUP located in Phoenix, Arizona.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Richard has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jr Richard 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.

1). BROOKWOOD INSURANCE, LLC; INVESTMENT RELATED, 3930 E. RAY ROAD, SUITE 155, PHOENIX AZ 85044, INSURANCE AGENCY, SALES OF FIXED INSURANCE PRODUCTS; INSURANCE PRODUCER SINCE 01/2022 APPROX 2 HOURS PER MONTH DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Sherman Rogers JR'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®

None

Experience

Current

September 27, 2023 - Present

BROOKWOOD INVESTMENT GROUP

Office #1: 3930 E. Ray Road Suite 155, Phoenix, AZ 85044

RIA

CRD#: 316544

Phoenix, AZ

Past

December 3, 2018 - June 29, 2023

BELPOINTE ASSET MANAGEMENT LLC

RIA

CRD#: 143440

Greenwich, CT

Past

January 6, 2000 - November 14, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

HYANNIS, MA

Past

October 6, 1999 - November 14, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

HYANNIS, MA

Past

August 2, 1999 - October 5, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

September 1, 1997 - February 1, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

May 4, 1993 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

February 6, 1989 - April 27, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

July 25, 1988 - January 3, 1989

GRAYSTONE NASH, INC.

CRD#: 10635

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".

BROOKWOOD INVESTMENT GROUP

CRD#: 316544 / SEC#: 801-122508

RIA

Registered Investment Advisory firm - (10/18/2021 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.

Highlighted states indicate IAR registrations

IAR

Arizona
(9/27/2023)

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: 6/13/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/8/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1988

General Securities Representative Examination

Current Firm

BROOKWOOD INVESTMENT GROUP

CRD#: 316544 / SEC#: 801-122508

RIA

Registered Investment Advisory firm - (10/18/2021 Approved)

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Contact information

Main Address

3930 E. Ray Road Suite 155, Phoenix, AZ 85044

Mailing Address

Phone number

(480) 646-3504

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROOKWOOD INVESTMENT GROUP FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	6,200
AUM (Assets Under Management)	$ 1,064,198,265

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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Advisor Monitoring

Firm Stability Insights

Richard S. Rogers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Sherman Rogers JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

BELPOINTE ASSET MANAGEMENT LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

LEHMAN BROTHERS INC.

GRAYSTONE NASH, INC.

Primary Firm SEC Registration

BROOKWOOD INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 6/13/1995

Series 63

Date: 8/8/1988

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1988

Current Firm

BROOKWOOD INVESTMENT GROUP

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROOKWOOD INVESTMENT GROUP

TRUST BUT VERIFY

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