Stephen L. Rogers

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CRD#: 2239795

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.

Stephen Lee Rogers was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1992. Stephen had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 23, 2021 - December 31, 2021

GRADIENT ADVISORS, LLC

RIA

CRD#: 152665

Oklahoma City, OK

Past

April 22, 2020 - October 5, 2020

ELEVATED CAPITAL ADVISORS, LLC

RIA

CRD#: 226721

Oklahoma City, OK

Past

January 8, 2020 - April 23, 2020

REGAL INVESTMENT ADVISORS LLC

RIA

CRD#: 125004

Oklahoma City, OK

Past

January 6, 2020 - April 23, 2020

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631

Oklahoma City, OK

Past

February 8, 2011 - March 30, 2017

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

OKLAHOMA CITY, OK

Past

June 12, 2008 - February 22, 2010

PARK AVENUE SECURITIES LLC

CRD#: 46173

OKLAHOMA CITY, OK

Past

September 29, 2005 - March 18, 2008

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

OKLAHOMA CITY, OK

Past

March 13, 2000 - September 27, 2005

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

May 3, 1999 - March 1, 2000

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

January 29, 1999 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

January 31, 1996 - February 5, 1999

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

March 29, 1993 - February 2, 1996

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

July 27, 1992 - March 2, 1993

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

HARTFORD, CT

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".

GRADIENT ADVISORS, LLC

CRD#: 152665 / SEC#: 801-71000

RIA

Registered Investment Advisory firm - (2/10/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

State Security Law Exam

IAR

Series 65

Date: 8/12/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/21/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/24/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GRADIENT ADVISORS, LLC

CRD#: 152665 / SEC#: 801-71000

RIA

Registered Investment Advisory firm - (2/10/2010 Approved)

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Contact information

Main Address

4105 Lexington Avenue N. Suite 225, Arden Hills, MN 55126

Mailing Address

Phone number

(877) 885-0508

Established

Firm type

Fiscal year end

# of Employees

169

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2B 10-2025 (10/21/2025)

Regulatory assets under management

Total Number of Accounts	3,222
AUM (Assets Under Management)	$ 218,611,410

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.

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Advisor Monitoring

Firm Stability Insights

Stephen L. Rogers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ELEVATED CAPITAL ADVISORS, LLC

REGAL INVESTMENT ADVISORS LLC

REGULUS FINANCIAL GROUP, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

PARK AVENUE SECURITIES LLC

ALLSTATE FINANCIAL SERVICES, LLC

NYLIFE SECURITIES LLC

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

WALNUT STREET SECURITIES, INC.

GUARDIAN INVESTOR SERVICES LLC

AETNA LIFE INSURANCE AND ANNUITY COMPANY

Primary Firm SEC Registration

GRADIENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/12/1996

Series 63

Date: 8/21/1992

SIE

Date: 3/30/2017

Series 6

Date: 7/24/1992

Current Firm

GRADIENT ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRADIENT ADVISORS, LLC

TRUST BUT VERIFY

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