Michael L. Rogers

TRANSAMERICA RETIREMENT ADVISORS

Selbyville, DE

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CRD#: 1862725

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 Palm City, Florida.

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.

BAND MUSICIAN POSITION: Musician NATURE: Arts, Entertainment, and Recreation INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2014 ADDRESS: 9606 10th Ave, Parkville, MD 21234, United States DESCRIPTION: Play bass, guitar, and sing

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

CRD#: 32205

Palm City, FL

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.

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.

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.

CRD#: 13941

Hunt Valley, MD

Past

November 7, 2013 - December 31, 2015

KESTRA INVESTMENT SERVICES, LLC

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

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.

CRD#: 3978

LEOMINSTER, MA

Past

April 20, 2004 - June 30, 2006

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

July 1, 2002 - April 9, 2004

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

March 30, 2000 - June 27, 2002

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

July 15, 1999 - March 14, 2000

CARILLON INVESTMENTS, INC.

CRD#: 14646

CINCINNATI, OH

Past

August 18, 1995 - November 12, 1997

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

December 9, 1988 - July 26, 1995

NYLIFE SECURITIES LLC

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".

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.

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

Delaware
(1/6/2025)

IAR

Delaware
(1/7/2025)

Maryland
(9/25/2020)

IAR

Maryland
(9/25/2020)

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

IAR

Series 65

Date: 1/19/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/11/2013

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/13/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/21/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/7/2013

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 2/24/1989

Direct Participation Programs Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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)

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 Accounts	212,836
AUM (Assets Under Management)	$ 16,157,423,229

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form 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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Michael L. Rogers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Louis Rogers's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA INVESTORS SECURITIES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

M&T SECURITIES, INC.

M&T SECURITIES, INC.

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

KESTRA INVESTMENT SERVICES, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

OSAIC FA, INC.

OSAIC FA, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CAPITAL BROKERAGE CORPORATION

HIMCO DISTRIBUTION SERVICES COMPANY

CARILLON INVESTMENTS, INC.

1717 CAPITAL MANAGEMENT COMPANY

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

TRANSAMERICA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/19/2016

Series 63

Date: 11/11/2013

Series 66

Date: 4/13/2007

SIE

Date: 10/1/2018

Series 7

Date: 3/21/2016

Series 6

Date: 11/7/2013

Series 22

Date: 2/24/1989

FINRA

Current Firm

TRANSAMERICA RETIREMENT ADVISORS, 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

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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