Herbert K. Rogers
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.
Herbert Kent Rogers JR, who also goes by Herbert H Kent Rogers Jr, Kent Rogers, Kent P Rubol, Kent Rubol, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1994. Herbert had worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2015 - December 26, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 9, 2012 - August 13, 2013
UNDERHILL SECURITIES CORP.
April 18, 2008 - January 29, 2009
PRIVATE EQUITY ADVISORS, INC.
September 21, 2007 - January 2, 2008
PRIVATE EQUITY ADVISORS, INC.
June 12, 2007 - July 8, 2010
PRIVATE EQUITY SECURITIES, INC.
May 31, 2005 - May 2, 2007
WHITE PACIFIC SECURITIES, INC.
June 29, 2004 - October 4, 2004
WHITE PACIFIC SECURITIES, INC.
November 21, 2003 - May 5, 2004
LLOYD, SCOTT & VALENTI, LTD.
October 21, 2002 - May 28, 2003
FINANCE 500, INC.
August 28, 2001 - October 23, 2002
TRADEWAY SECURITIES GROUP, INC.
August 2, 2000 - June 21, 2001
WADDELL & REED
January 12, 1998 - June 7, 2000
TRADEWAY SECURITIES GROUP, INC.
September 23, 1997 - December 5, 1997
WALDRON & CO., INC.
January 21, 1997 - September 17, 1997
WMA SECURITIES, INC.
December 20, 1994 - August 3, 1995
IDS LIFE INSURANCE COMPANY
December 20, 1994 - August 3, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
