Thomas Robert Rogers
Professional Summary
Thomas Robert Rogers, who also goes by Thom Rogers, is a registered financial advisor currently at FINANCIAL TRANSPARENCY located in Longwood, Florida. Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thom Rogers
Similar Advisors
RITHOLTZ WEALTH MANAGEMENT
FALCON WEALTH PLANNING, LLC
ACT ADVISORS
AMERIPRISE FINANCIAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RITHOLTZ WEALTH MANAGEMENT
FALCON WEALTH PLANNING, LLC
ACT ADVISORS
AMERIPRISE FINANCIAL SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RITHOLTZ WEALTH MANAGEMENT
FALCON WEALTH PLANNING, LLC
ACT ADVISORS
AMERIPRISE FINANCIAL SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
RITHOLTZ WEALTH MANAGEMENT
FALCON WEALTH PLANNING, LLC
ACT ADVISORS
AMERIPRISE FINANCIAL SERVICES, LLC
Years of Experience
28 years in the financial services industry
Current & Past Employments
Similar Advisors
RITHOLTZ WEALTH MANAGEMENT
FALCON WEALTH PLANNING, LLC
ACT ADVISORS
AMERIPRISE FINANCIAL SERVICES, LLC
Current Firm
ARISTOTLE ADVISORS, LLC | PEARSON CONSULTANTS, INC. | PAINT CREEK INVESTMENT ADVISORS | OAK KNOLL CONSULTING SERVICES, LLC | MICHAEL MACDONALD FINANCIAL MANAGEMENT | JOSHUA TREE INVESTMENTS | GIARDINA & BRESETT CONSULTING SERVICES, INC. | GBK FINANCIAL SERVICES, LLC | FINANCIAL TRANSPARENCY | ENVISION FINANCIAL TRANSPARENCY, LLC | EAGLE CAPITAL GROUP, LLC | DOWNTOWN FINANCIAL MANAGEMENT, LLC | DONOHUE CONSULTING GROUP, INC. | CORNERSTONE ADVISORY CONSULTING, LLC | CONDLEY FINANCIAL SERVICES, INC. | CLEAR PERSPECTIVE ADVISORS, LLC | BANKLER ADVISORY SERVICES, LLP
Contact Information
Main Address
Greensboro, NCPhone Number
(336) 715-3300# of Employees
16SEC notice filing (10 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
501AUM (Assets Under Management)
$322,258,950Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/01/2026 | Cover Page | Report |
| 10/27/2025 | Cover Page | Report |
| 11/27/2024 | Cover Page | Report |
| 02/27/2024 | Cover Page | Report |
Similar Advisors
RITHOLTZ WEALTH MANAGEMENT
FALCON WEALTH PLANNING, LLC
ACT ADVISORS
AMERIPRISE FINANCIAL SERVICES, LLC
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.
Similar Advisors
RITHOLTZ WEALTH MANAGEMENT
FALCON WEALTH PLANNING, LLC
ACT ADVISORS
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
ARISTOTLE ADVISORS, LLC | PEARSON CONSULTANTS, INC. | PAINT CREEK INVESTMENT ADVISORS | OAK KNOLL CONSULTING SERVICES, LLC | MICHAEL MACDONALD FINANCIAL MANAGEMENT | JOSHUA TREE INVESTMENTS | GIARDINA & BRESETT CONSULTING SERVICES, INC. | GBK FINANCIAL SERVICES, LLC | FINANCIAL TRANSPARENCY | ENVISION FINANCIAL TRANSPARENCY, LLC | EAGLE CAPITAL GROUP, LLC | DOWNTOWN FINANCIAL MANAGEMENT, LLC | DONOHUE CONSULTING GROUP, INC. | CORNERSTONE ADVISORY CONSULTING, LLC | CONDLEY FINANCIAL SERVICES, INC. | CLEAR PERSPECTIVE ADVISORS, LLC | BANKLER ADVISORY SERVICES, LLP
State Registrations and Notice Filings
(8/16/2018)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1998About the Series 6 examSimilar Advisors
RITHOLTZ WEALTH MANAGEMENT
FALCON WEALTH PLANNING, LLC
ACT ADVISORS
AMERIPRISE FINANCIAL SERVICES, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Robert Rogers's CRS (Customer Relationship Summary).
Similar Advisors
RITHOLTZ WEALTH MANAGEMENT
FALCON WEALTH PLANNING, LLC
ACT ADVISORS
AMERIPRISE FINANCIAL SERVICES, LLC
