Richard W. Rogers

CETERA INVESTMENT ADVISERS LLC

Milton, MA

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CRD#: 2199107

Professional summary

Richard W Rogers is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Milton, Massachusetts and CETERA ADVISORS LLC located in Canton, Massachusetts.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. NAME OF OTHER BUSINESS: ABBEY CAPITAL LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 3/2008, POSITION/TITLE/RELATIONSHIP: OWNER/MANAGING PARTNER, APX NUMBER OF HOURS PER WEEK: 50, APX NUMBER OF HOURS DURING TRADING HOURS: 8, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard W 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

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 587 Washington Street, Canton, MA 02021

RIA

CRD#: 105644

Milton, MA

Current

August 4, 2023 - Present

CETERA ADVISORS LLC

Office #1: 587 Washington Street, Canton, MA 02021

CRD#: 10299

Canton, MA

Past

August 16, 2023 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

Canton, MA

Past

July 24, 2018 - August 10, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

CANTON, MA

Past

July 18, 2018 - August 10, 2023

LPL FINANCIAL LLC

CRD#: 6413

CANTON, MA

Past

October 3, 2016 - July 19, 2018

CETERA ADVISORS LLC

RIA

CRD#: 10299

BOSTON, MA

Past

October 3, 2016 - July 19, 2018

CETERA ADVISORS LLC

CRD#: 10299

BOSTON, MA

Past

October 21, 2009 - January 3, 2017

ABBEY CAPITAL LLC

RIA

CRD#: 151835

BOSTON, MA

Past

September 8, 2009 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

BOSTON, MA

Past

August 27, 2009 - October 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

BOSTON, MA

Past

July 22, 2009 - September 1, 2009

MUTUAL SERVICE CORPORATION

RIA

CRD#: 4806

BRAINTREE, MA

Past

April 25, 2008 - September 1, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

BRAINTREE, MA

Past

April 2, 2007 - April 28, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

BOSTON, MA

Past

December 1, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

BOSTON, MA

Past

July 27, 1998 - December 11, 2003

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 24, 1995 - July 30, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 9, 1992 - July 25, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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

Massachusetts
(8/4/2023)

IAR

Massachusetts
(3/21/2024)

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 66

Date: 7/16/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/15/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/26/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/8/1992

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Richard W. Rogers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

ABBEY CAPITAL LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/16/2009

Series 63

Date: 1/15/1992

SIE

Date: 10/1/2018

Series 31

Date: 8/26/2004

Series 7

Date: 1/8/1992

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

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