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MR

Michael L. Rogers

TRANSAMERICA RETIREMENT ADVISORS
Selbyville, DE
Some features on this profile are disabled
CRD#: 1862725
MR

Professional summary

Michael Louis Rogers, who also goes by Michael Louis Rogers, Michael Rogers, Mike Rogers, is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Selbyville, Delaware and TRANSAMERICA INVESTORS SECURITIES, LLC located in Harrison, New York.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Michael has worked at 14 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7, Series 6 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Michael Louis Rogers | Michael Rogers | Mike 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Louis Rogers'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 25, 2020 - Present

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA
CRD#: 107319
Selbyville, DE
Current

September 25, 2020 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

Office #1: 440 Mamaroneck Avenue, Harrison, NY 10528
BD
CRD#: 32205
Harrison, NY
Past

March 20, 2019 - September 23, 2020

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
Hunt Valley, MD
Past

March 20, 2019 - September 23, 2020

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Hunt Valley, MD
Past

October 19, 2017 - March 15, 2019

M&T SECURITIES, INC.

RIA
CRD#: 17358
BALTIMORE, MD
Past

October 19, 2017 - March 15, 2019

M&T SECURITIES, INC.

BD
CRD#: 17358
BALTIMORE, MD
Past

January 26, 2016 - October 2, 2017

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
Hunt Valley, MD
Past

January 14, 2016 - October 2, 2017

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
Hunt Valley, MD
Past

November 7, 2013 - December 31, 2015

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
KING OF PRUSSIA, PA
Past

May 29, 2007 - December 2, 2008

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
ANDOVER, MA
Past

May 21, 2007 - December 2, 2008

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
ANDOVER, MA
Past

April 23, 2007 - May 23, 2007

OSAIC FA, INC.

RIA
CRD#: 3978
LEOMINSTER, MA
Past

October 3, 2006 - May 23, 2007

OSAIC FA, INC.

BD
CRD#: 3978
LEOMINSTER, MA
Past

April 20, 2004 - June 30, 2006

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

July 1, 2002 - April 9, 2004

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

March 30, 2000 - June 27, 2002

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

July 15, 1999 - March 14, 2000

CARILLON INVESTMENTS, INC.

BD
CRD#: 14646
CINCINNATI, OH
Past

August 18, 1995 - November 12, 1997

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE
Past

December 9, 1988 - July 26, 1995

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY

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".
TR
TRANSAMERICA RETIREMENT ADVISORS, LLC
DIVERSIFIED INVESTMENT ADVISORS INC | TRANSAMERICA RETIREMENT ADVISORS, LLC | TRANSAMERICA RETIREMENT ADVISORS, INC. | DIVERSIFIED RETIREMENT CORPORATION | DIVERSIFIED INVESTMENT ADVISORS, INC.

CRD#: 107319 / SEC#: 801-42910

RIA
Registered Investment Advisory firm - (12/16/1992 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
Delaware
(1/6/2025)
IAR
Delaware
(1/7/2025)
RR
Maryland
(9/25/2020)
IAR
Maryland
(9/25/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/19/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/11/2013
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 4/13/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/7/2013
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 2/24/1989
Direct Participation Programs Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TR
TRANSAMERICA RETIREMENT ADVISORS, LLC
DIVERSIFIED INVESTMENT ADVISORS INC | TRANSAMERICA RETIREMENT ADVISORS, LLC | TRANSAMERICA RETIREMENT ADVISORS, INC. | DIVERSIFIED RETIREMENT CORPORATION | DIVERSIFIED INVESTMENT ADVISORS, INC.

CRD#: 107319 / SEC#: 801-42910

RIA
Registered Investment Advisory firm - (12/16/1992 Approved)
PREMIUM
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Contact information

Main Address
6400 C Street Sw, Cedar Rapids, IA 52499
Mailing Address
Phone number
(866) 368-0566
Established
Firm type
Fiscal year end
# of Employees
383

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TRANSAMERICA RETIREMENT ADVISORS, LLC THIRD PARTY MONEY MANAGERS BROCHURES (5/22/2025)
TRANSAMERICA RETIREMENT ADVISORS, LLC TRANSAMERICA PERSONALIZED PORTFOLIOS BROCHURE (2/14/2025)
TRANSAMERICA RETIREMENT ADVISORS, LLC. DEFINED BENEFIT SERVICES BROCHURE (2/14/2025)
TRANSAMERICA RETIREMENT ADVISORS, LLC. MANAGED ADVICE SERVICES BROCHURE (2/14/2025)

Regulatory assets under management

Total Number of Accounts212,836
AUM (Assets Under Management)$ 16,157,423,229

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/10/2025
Cover Page
Report
10/25/2024
Cover Page
Report
07/25/2023
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.

Company Information

TRANSAMERICA RETIREMENT ADVISORS, LLC

CRD#: 107319Selbyville, DE

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