Dennis J. Rogers

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | President/Partner

Phoenix, AZ 85020

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CRD#: 2267193

Professional summary

Dennis John Rogers, CFP® is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Phoenix, Arizona.

Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Dennis has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Biography

Dennis is a Certified Public Accountant and Certified Financial Planner with a Bachelor of Science in Accounting from the University of Rhode Island and a Master of Taxation from Arizona State University. He established his own traditional CPA practice in Phoenix in 1983, after six years in corporate management with a Fortune 500 company. In 1992, Dennis transitioned his practice to focus exclusively on financial planning services. He has found that he is very effective helping clients with defining their goals and objectives, designing a plan of action, and implementing the plan.

Dennis’ primary professional focus is helping retired people, busy professionals and executives make sound decisions about money so they can fulfill their personal values. This is achieved through comprehensive and effective planning in the areas of post retirement cash flow optimization, investment planning, tax planning, employee benefits analysis, and risk management. One of his unique abilities is taking very complex financial concepts and explaining them in simple, non-technical ways.

Dennis is a member of the American Institute of Certified Public Accountants, the Arizona Society of Certified Public Accountants and the Financial Planning Association.

Dennis has been married to his wife Roxana since 1981. They have two married daughters and ten grandchildren. Dennis committed his life to Jesus Christ and accepted Him as his personal Savior in 1977. He considers that the single most important decision of his life.

Dennis’ personal interests revolve primarily around Christian Ministry. He loves to mentor young men, minister to children and families, and teach. He presently teaches regularly at Teen Challenge Ministry. He also serves on the Board of Directors for Choices Pregnancy Centers of Phoenix and Life International Ministries.

Question & Answer

What are your service offerings?

Tax Planning

Insurance Planning

Divorce Planning

Investment Planning

Comprehensive Financial Planni...

Estate Planning

Employee and Employer Plan Ben...

Business Succession Planning

Retirement Planning

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.) RKG ENTERPRISE, LLC - MEMBER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - PHOENIX. AZ - SINCE 08/2016 - NOT INVESTMENT RELATED 2.) DENNIS ROGERS - OWNER - RESIDENTIAL RENTAL PROPERTY - PHOENIX, AZ - SINCE 01/2009 - NOT INVESTMENT RELATED 3.) BKMR ENTERPRISE, LLC - MEMBER - COMMERCIAL BUILDING OWNERS - PHOENIX, AZ - SINCE 01/2012 - NOT INVESTMENT RELATED 4.) DENNIS ROGERS - VOLUNTEER - FACILITATE FINANCIAL PEACE UNIVERSITY CLASSES FOR CHURCH AND OTHER GROUPS - PHOENIX, AZ - SINCE 11/2019 - NOT INVESTMENT RELATED 5.) ARK INSURANCE SOLUTIONS - VICE PRESIDENT - NON-VARIABLE INSURANCE - PHOENIX, AZ - SINCE 09/2019 - INVESTMENT RELATED 6.) FIRESKY FINANCIAL INC. - RELATIONSHIP MANAGER - DBA NAME FOR MARKETING PURPOSES ONLY - PHOENIX, AZ - SINCE 03/2021 - INVESTMENT RELATED 7.) FIRESKY FINANCIAL INC. - INDEPENDENT INSURANCE AGENT - NON-VARIABLE INSURANCE - PHOENIX, AZ - SINCE 03/2021 - INVESTMENT RELATED 8.) ROGERS KIRBY ENTERPRISE - INSURANCE & ANNUITY SALES AND SERVICE - NON-VARIABLE INSURANCE - PHOENIX, AZ - SINCE 09/2020 - INVESTMENT RELATED 9.) ROGERS KIRBY ENTERPRISE - CPA - TAX PREPARATION/ACCOUNTING/BOOKKEEPING/CPA - PHOENIX, AZ - SINCE 09/2020 - INVESTMENT RELATED 10.) ROGERS KIRBY ENTERPRISE - ADVISOR - CONSULTING SERVICES - PHOENIX, AZ - SINCE 09/2020 - INVESTMENT RELATED 11.) DENNIS ROGERS - AUTHOR - AUTHOR - PHOENIX, AZ - SINCE 11/2021 - NOT INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis John Rogers's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Dennis John 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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

August 20, 2007 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 7210 N. 16th St Ste B, Phoenix, AZ 85020Office #2: 1599 E Orangewood Ave, Phoenix, AZ 85020

RIA

CRD#: 20804

Phoenix, AZ

Current

July 24, 2000 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 7210 N. 16th St Ste B, Phoenix, AZ 85020Office #2: 1599 E Orangewood Ave, Phoenix, AZ 85020

RIA

CRD#: 20804

Phoenix, AZ

Past

July 24, 2000 - December 31, 2004

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

SCOTTSDALE, AZ

Past

March 19, 1998 - August 3, 2000

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

August 18, 1993 - February 5, 1998

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

August 28, 1992 - August 9, 1993

G. R. PHELPS & CO., INC.

CRD#: 173

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".

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804 / SEC#: 801-57198, 8-38485

RIA

Registered Investment Advisory firm - SEC (1/28/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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

Alabama
(10/1/2009)

Alaska
(2/3/2012)

Arizona
(7/24/2000)

IAR

Arizona
(8/20/2007)

Arkansas
(2/3/2012)

California
(1/3/2011)

Colorado
(1/24/2002)

Delaware
(10/19/2020)

District of Columbia
(1/27/2009)

Florida
(1/3/2011)

Georgia
(2/11/2019)

Hawaii
(9/9/2016)

Idaho
(4/9/2014)

Illinois
(4/9/2014)

Indiana
(2/18/2009)

Iowa
(3/15/2017)

Kansas
(2/3/2012)

Kentucky
(8/10/2011)

Louisiana
(4/9/2014)

Maryland
(4/9/2014)

Massachusetts
(1/3/2019)

Michigan
(7/20/2018)

Minnesota
(11/23/2010)

Mississippi
(1/3/2011)

Missouri
(1/27/2009)

Montana
(1/29/2009)

Nevada
(2/3/2012)

New Hampshire
(3/16/2018)

New Jersey
(4/2/2012)

New Mexico
(6/9/2005)

New York
(5/22/2001)

North Carolina
(1/4/2021)

North Dakota
(10/29/2018)

Ohio
(2/7/2012)

Oklahoma
(9/15/2010)

Oregon
(2/9/2017)

Pennsylvania
(2/18/2010)

Rhode Island
(2/18/2009)

South Carolina
(4/9/2014)

South Dakota
(2/3/2012)

Tennessee
(2/12/2018)

Texas
(1/3/2011)

Utah
(5/8/2001)

Virginia
(6/19/2014)

Washington
(1/3/2011)

Wisconsin
(7/28/2008)

Wyoming
(2/3/2012)

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: 10/27/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/23/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/26/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/26/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804 / SEC#: 801-57198, 8-38485

RIA

Registered Investment Advisory firm - SEC (1/28/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

7333 E. Doubletree Ranch Road #120, Scottsdale, AZ 85258

Mailing Address

P.o. Box 5750, Scottsdale, AZ 85261-5750

Phone number

(480) 991-0225

Established

Arizona since 08/21/1987

Firm type

Partnership

Fiscal year end

December

Firm Size

Large

# of Employees

614

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

UNITED PLANNERS FINANCIAL SERVICES FORM ADV PART 2A - 8.23.2024 (3/24/2025)

Direct owners and executive officers

Name	Position	CRD#
UNITED PLANNERS' GROUP, INC.	GENERAL PARTNER
BAKER, MICHAEL A	PRESIDENT	4037933
BAKER, MICHAEL A	CHIEF EXECUTIVE OFFICE (CEO)	4037933
CUFFARI-AGASI, SHEILA JUNE	EXECUTIVE VICE PRESIDENT	2401020
HAUER, DAVE B	VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER	4018434
OLIVERIO, KENNETH WILLIAM JR	EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER	2957427
SHINDEL, CHAD TRAVIS	VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO)	6232253

Regulatory assets under management

Total Number of Accounts	41,834
AUM (Assets Under Management)	$ 10,637,349,683

Disclosures

Regulatory Event	12
Arbitration	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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Dennis J. Rogers

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis John Rogers's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Dennis John Rogers's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

WS GRIFFITH SECURITIES, INC.

VERAVEST INVESTMENTS, INC.

G. R. PHELPS & CO., INC.

Primary Firm SEC Registration

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

State Registrations and Notice Filings

Exams

Series 65

Date: 10/27/1995

Series 63

Date: 8/26/1992

SIE

Date: 10/1/2018

Series 7

Date: 12/23/1994

Series 6

Date: 8/26/1992

Series 24

Date: 8/26/2000

FINRA

Current Firm

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

TRUST BUT VERIFY

Contact information

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