Alvin Rogers

FINANCIAL LEGACY MANAGEMENT, NC.

LITTLE ROCK, AR 72211

CRD#: 2974071

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Professional summary

Alvin Rogers II, CFP® is a registered financial advisor currently at FINANCIAL LEGACY MANAGEMENT, NC. located in Little Rock, Arkansas.

Alvin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Alvin has worked at 6 firms and has passed the Series 66, Series 7 and Series 6 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 Alvin Rogers II'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: 1999

Experience

Current

April 7, 2026 - Present

FINANCIAL LEGACY MANAGEMENT, NC.

Office #1: 13 Office Park Drive, Little Rock, AR 72211

RIA

CRD#: 136348

LITTLE ROCK, AR

Past

September 18, 2006 - December 31, 2025

FINANCIAL LEGACY MANAGEMENT, NC.

RIA

CRD#: 136348

LITTLE ROCK, AR

Past

January 1, 2002 - December 12, 2005

FINANCIAL DECISIONS, INC.

RIA

CRD#: 117639

LITTLE ROCK, AR

Past

May 21, 1999 - October 27, 1999

WEEMS & COMPANY, INC.

CRD#: 30814

LITTLE ROCK, AR

Past

June 29, 1998 - May 5, 1999

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

May 14, 1998 - June 10, 1998

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

November 25, 1997 - May 5, 1998

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

FINANCIAL LEGACY MANAGEMENT, NC.

FINANCIAL LEGACY MANAGEMENT, INC. | FINANCIAL LEGACY MANAGEMENT, NC.

CRD#: 136348 / SEC#: 801-131149

RIA

Registered Investment Advisory firm - (9/25/2024 Approved)

Arkansas

Registered Investment Advisory firm - (11/18/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (11/18/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arkansas
(4/7/2026)

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 66

Date: 12/23/1997

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 6/25/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/24/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FINANCIAL LEGACY MANAGEMENT, NC.

FINANCIAL LEGACY MANAGEMENT, INC. | FINANCIAL LEGACY MANAGEMENT, NC.

CRD#: 136348 / SEC#: 801-131149

RIA

Registered Investment Advisory firm - (9/25/2024 Approved)

Arkansas

Registered Investment Advisory firm - (11/18/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (11/18/2024 Terminated)

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Contact information

Main Address

13 Office Park Drive, Little Rock, AR 72211

Mailing Address

Phone number

(501) 224-7526

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FLM 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	600
AUM (Assets Under Management)	$ 135,000,000

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Louisiana	ERA - Withdrawn	5/6/2013

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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Alvin Rogers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alvin Rogers II's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL LEGACY MANAGEMENT, NC.

FINANCIAL DECISIONS, INC.

WEEMS & COMPANY, INC.

WMA SECURITIES, INC.

1717 CAPITAL MANAGEMENT COMPANY

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

FINANCIAL LEGACY MANAGEMENT, NC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/23/1997

Series 7

Date: 6/25/1999

Series 6

Date: 11/24/1997

Current Firm

FINANCIAL LEGACY MANAGEMENT, NC.

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

FINANCIAL LEGACY MANAGEMENT, NC.

TRUST BUT VERIFY

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