DR
Diana K. Rogers
TRUTORO
Harrison, AR 72601
Some features on this profile are disabled
CRD#: 3077370
DR
Professional summary
Diana Kay Rogers, who also goes by Diana K Murr, Diana Murr, is a registered financial advisor currently at TRUTORO located in Harrison, Arkansas.
Diana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Diana has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diana K Murr | Diana Murr
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.
ROGERS FINANCIAL SERVICES:NOT INVESTMENT RELATED:10/2013-PRESENT:HARRISON, AR:SUPPORT COMPANY/DBA (OWNER):0 HRS.MO:0 HRS DURING TRADING:OWNER-BUSINESS NAME USED ONLY FOR CHECKING ACCOUNT, AND INCOME TAX FILING.
CRS (Client Relationship Summary) - RIA
Click below to view Diana Kay Rogers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Diana Kay Rogers's 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®
NoneExperience
Current
November 14, 2014 - Present
TRUTORO
Office #1: 400 N. Main Street, Harrison, AR 72601RIA
BD
CRD#: 169291
Harrison, AR
Current
November 14, 2014 - Present
TRUTORO
Office #1: 400 N. Main Street, Harrison, AR 72601RIA
BD
CRD#: 169291
Harrison, AR
Past
January 2, 2009 - November 18, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
HARRISON, AR
Past
October 29, 2001 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
HARRISON, AR
Past
April 21, 1999 - November 18, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
HARRISON, AR
Past
December 24, 1998 - April 30, 1999
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
December 8, 1998 - April 30, 1999
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
August 10, 1998 - November 1, 1998
FIRST FINANCIAL BROKERAGE SERVICES, INC.
BD
CRD#: 43663
HARRISON, AR
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".
TR
TRUTORO
BUTLER FINANCIAL SERVICES | VERITAS INDEPENDENT PARTNERS, LLC | TRUTORO | SUQUTRA INVESTMENTS | STRONG WEALTH MANAGEMENT | ROGERS FINANCIAL SERVICES | RIVERLAND WEALTH MANAGEMENT | PINNACLE WEALTH ADVISORS | PERSPECTIVES GROUP FINANCIAL | MINTON WEALTH STRATEGIES | JOE JUSTUS INSURANCE AGENCY | JIM D LEONARD, CPA | FOUNTAIN FINANCIAL & TAX | DICKERSON INSURANCE AND FINANCIAL SERVICES | CARDINAL INVESTMENT GROUP
CRD#: 169291 / SEC#: 801-120986, 8-69363
RIA
Registered Investment Advisory firm - SEC (4/28/2021 Approved)Arkansas
Registered Investment Advisory firm - SEC (4/30/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Montana
Registered Investment Advisory firm - SEC (4/30/2021 Terminated)South Dakota
Registered Investment Advisory firm - SEC (2/1/2019 Terminated)Texas
Registered Investment Advisory firm - SEC (4/30/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans 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.RR
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
RR
Arkansas(11/14/2014)
IAR
Arkansas(11/14/2014)
RR
Montana(2/6/2020)
IAR
Montana(2/26/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TR
TRUTORO
BUTLER FINANCIAL SERVICES | VERITAS INDEPENDENT PARTNERS, LLC | TRUTORO | SUQUTRA INVESTMENTS | STRONG WEALTH MANAGEMENT | ROGERS FINANCIAL SERVICES | RIVERLAND WEALTH MANAGEMENT | PINNACLE WEALTH ADVISORS | PERSPECTIVES GROUP FINANCIAL | MINTON WEALTH STRATEGIES | JOE JUSTUS INSURANCE AGENCY | JIM D LEONARD, CPA | FOUNTAIN FINANCIAL & TAX | DICKERSON INSURANCE AND FINANCIAL SERVICES | CARDINAL INVESTMENT GROUP
CRD#: 169291 / SEC#: 801-120986, 8-69363
RIA
Registered Investment Advisory firm - SEC (4/28/2021 Approved)Arkansas
Registered Investment Advisory firm - SEC (4/30/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Montana
Registered Investment Advisory firm - SEC (4/30/2021 Terminated)South Dakota
Registered Investment Advisory firm - SEC (2/1/2019 Terminated)Texas
Registered Investment Advisory firm - SEC (4/30/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
2201 Washington Ave Suite 2, Conway, AR 72032
Mailing Address
2201 Washington Ave Ste 2, Conway, AR 72032
Phone number
(501) 358-6131
Established
Arkansas since 09/05/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
20
SEC notice filing (7 States and Territories)
FINRA licenses (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,172 |
| AUM (Assets Under Management) | $ 130,734,559 |
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.
