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SR

Shawn A. Rogers

IMA WEALTH
Denver, CO 80237
Some features on this profile are disabled
CRD#: 2962520
SR

Professional summary

Shawn Anthony Rogers, CFP® is a registered financial advisor currently at IMA WEALTH located in Denver, Colorado.

Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Shawn has worked at 3 firms and has passed the Series 66, Series 63, Series 7, Series 10 and Series 9 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Anthony 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: 2007

Experience

Current

May 1, 2026 - Present

IMA WEALTH

Office #1: 4643 S. Ulster Street Suite 960, Denver, CO 80237
RIA
CRD#: 112091
Denver, CO
Past

October 3, 2008 - May 1, 2026

COORDINATED FINANCIAL SERVICES, INC.

RIA
CRD#: 147881
DENVER, CO
Past

October 27, 2006 - June 18, 2008

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
ENGLEWOOD, CO
Past

January 15, 1998 - June 18, 2008

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
ENGLEWOOD, CO

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".
IW
IMA WEALTH
IMA ADVISORY SERVICES, INC. | TRUENORTH, INC. | TRUENORTH SECURITIES, INC. | SYNTRINSIC | IMA WEALTH, INC. | IMA WEALTH | IMA RETIREMENT | IMA PRIVATE WEALTH

CRD#: 112091 / SEC#: 801-79108, 8-53221

RIA
Registered Investment Advisory firm - SEC (2/5/2014 Approved)
BD
Terminated by SEC on 02/16/2024

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.

Highlighted states indicate IAR registrations

IAR
Colorado
(5/1/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/28/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/17/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/13/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/2/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/12/2001
General Securities Sales Supervisor - Options Module Examination

Current Firm

IW
IMA WEALTH
IMA ADVISORY SERVICES, INC. | TRUENORTH, INC. | TRUENORTH SECURITIES, INC. | SYNTRINSIC | IMA WEALTH, INC. | IMA WEALTH | IMA RETIREMENT | IMA PRIVATE WEALTH

CRD#: 112091 / SEC#: 801-79108, 8-53221

RIA
Registered Investment Advisory firm - SEC (2/5/2014 Approved)
BD
Terminated by SEC on 02/16/2024
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1705 17th Street Suite 100, Denver, CO 80202
Mailing Address
430 E Douglas Ave Suite 400, Wichita, KS 67202
Phone number
(316) 266-6574
Established
Kansas since 06/23/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
46

SEC notice filing (19 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

IMAAS PART 2A INVESTMENT ADV SERVICES (5/1/2025)
SYNTRINSIC (3/31/2025)
IMAAS PART 2A RETIREMENT PLAN SERVICES (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
THE IMA FINANCIAL GROUP, INC. F/K/A INSURANCE MANAGEMENT ASSOCIATES, INC.SHAREHOLDER
DAVIS, PATRICIA LYNNSVP, CCO, DIRECTOR5613123
HOLT, RICHARD WILLIAMPRESIDENT, DIRECTOR, CIO, FINOP2778485
PAULY, ERIC MICHAELGENERAL COUNSEL/SECRETARY7719772
POOL, SUSAN LOUISESENIOR VICE PRESIDENT/DIRECTOR3178683

Regulatory assets under management

Total Number of Accounts1,514
AUM (Assets Under Management)$ 3,158,410,252

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.

Company Information

IMA WEALTH

CRD#: 112091Denver, CO 80237

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