Richard Patrick Rogers Jr
Professional Summary
Richard Patrick Rogers JR, who also goes by Richard Patrick Rogers, is a registered financial advisor currently at QUANTITATIVE PROCESS, LLC located in Charlotte, North Carolina. Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 28 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard Patrick Rogers
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
QUANTITATIVE PROCESS, LLC
Contact Information
Main Address
10700 Sikes Place Suite 395, Charlotte, NC 28277Phone Number
(888) 253-3292# of Employees
3SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
288AUM (Assets Under Management)
$502,114,653Similar Advisors
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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.
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Primary Firm SEC Registration
QUANTITATIVE PROCESS, LLC
State Registrations and Notice Filings
(6/13/2014)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1989About the Series 6 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed May 1999About the Series 28 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jul 1997About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Patrick Rogers JR's CRS (Customer Relationship Summary).
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